Attachment 5_IEE DCN 2021-KOS-005_Social Contract.pdf

SBU – SENSITIVE BUT UNCLASSIFIED DCN: 2021-KOS-005

KOSOVO / SOCIAL CONTRACT

INITIAL ENVIRONMENTAL

EXAMINATION

PROJECT/ACTIVITY DATA

Project/Activity Name: Social Contract

Geographic Location(s) (Country/Region): Kosovo

Amendment (Yes/No), if Yes indicate # (1, 2...): No

Implementation Start/End Date (FY or M/D/Y): FY 21-26

If Amended, specify New End Date:

Solicitation/Contract/Award Number(s): n/a

Implementing Partner(s): n/a

Bureau Tracking ID:

Tracking ID of Related RCE/IEE (if any): n/a

Tracking ID of Other, Related Analyses: n/a

ORGANIZATIONAL/ADMINISTRATIVE DATA

Implementing Operating Unit(s):

(e.g. Mission or Bureau or Office)

USAID/Kosovo

Other Affected Operating Unit(s):

Lead BEO Bureau: E&E

Funding Account(s) (if available): AEECA

Original Funding Amount: $15,000,000.00

If Amended, specify funding amount:

If Amended, specify new funding total:

Prepared by: Anna Kusnetova

Date Prepared:

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ENVIRONMENTAL COMPLIANCE REVIEW DATA

Analysis Type: ☐Environmental Examination ☐Deferral

Environmental Determination(s): X Categorical Exclusion(s) X Negative ☐Positive ☐Deferred (per 22 CFR 216.3(a)(7)(iv)

IEE Expiration Date (if applicable):

Additional Analyses/Reporting Required:

Climate Risks Identified : 2 Low ___2 __ Moderate ___#___ High ___#___

Climate Risks Addressed : 2 Low ___2 ___ Moderate ___#___ High ___#___ about:blank about:blank

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THRESHOLD DETERMINATION AND SUMMARY OF FINDINGS

PROJECT/ACTIVITY SUMMARY

The activity will introduce sustainable practices for public participation in order to improve Kosovo citizens’ quality of life and strengthen their partnership with the municipal government. To this purpose, the activity will use a systems thinking approach to lower behavioral, institutional, and other environmental barriers and amplify existing facilitators for public participation in at least 15 municipalities of Kosovo. Public participation action plans developed by municipalities may include small scale construction.

ENVIRONMENTAL DETERMINATIONS

Upon approval of this document, the determinations become affirmed, per Agency regulations (22

CFR 216).

TABLE 1: ENVIRONMENTAL DETERMINATIONS

Objective 1

Activities Categorical Exclusion Citation (if applicable)

Negative Determination

Activity 1: assessment of the public participation barriers and facilitators in the pilot municipalities

22 CFR 216.2(i) 22 CFR 216.2(iii)

Activity 2: development and implementation of public participation action plans in pilot municipalities including support to at least two community initiatives per municipality

X

Activity 3: establishment of an Advisory Council 22 CFR 216.2(i) ☐

Activity 4: rapid mid-term learning assessment of activity implementation in pilot municipalities

22 CFR 216.2(iii) ☐

Activity 5: development and implementation of an advocacy and outreach plan

22 CFR 216.2(i) ☐

Objective 2

Activities Categorical Exclusion Citation (if applicable)

Negative Determination

Activity 1: assessment of the public participation 22 CFR 216.2(c)(iii) ☐

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barriers and facilitators in scale-up municipalities

Activity 2: development and implementation of public participation action plans in scale-up municipalities including support to at least two community initiatives per municipality.

X

Activity 3: monitoring and limited support to the pilot municipalities

X

Activity 4: development and implementation of an

22 CFR 216.2(c)(i) ☐

CLIMATE RISK MANAGEMENT

Kosovo’s climate is expected to become warmer and drier over time (see the USAID Climate Change Risk Profile, Kosovo1). To minimize the negative impacts of climate change, USAID is required by ADS 201mal2 to incorporate climate change risk screening for all new projects as of October 1, 2016, to better adapt to climate change and maximize results. The climate change screening analysis for USAID/Kosovo activities was updated in January 2020. The Social Contract activity falls under IR1.2. of the DO1: Citizens are better served by accountable and effective governance institutions of the USAID/Kosovo CDCS. The climate risk screening for USAID/Kosovo’s strategy found that risks for IR 1.2 under the DO1 are rated low. The climate risk screening for the Social Contract activity is attached to this IEE. No climate change considerations are identified.

BEO SPECIFIED CONDITIONS OF APPROVAL

IMPLEMENTATION

In accordance with 22 CFR 216 and Agency policy, the conditions and requirements of this document become mandatory upon approval. This includes the relevant limitations, conditions and requirements in this document as stated in Sections 3, 4, and 5 of the IEE and any BEO Specified Conditions of Approval.

1https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Ris k%20Profile%20-%20Kosovo.pdf 2 https://www.usaid.gov/sites/default/files/documents/1868/201mal_042817.pdf https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Risk%20Profile%20-%20Kosovo.pdf https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Risk%20Profile%20-%20Kosovo.pdf

KOSOVO / SOCIAL CONTRACT

USAID APPROVAL OF INITIAL ENVIRONMENTAL EXAMINATION

ACTIVITY NAME: Social Contract

Bureau Tracking ID: 2021-KOS-005

Approval:

Lisa Magno, Mission Director Date

Clearance:

Zeinah Salahi, Deputy Mission Director Date

Rebecca Hammel, Resident Legal Officer Date

Perihan Ymeri Ustaibo, Mission Environmental Officer Date

Christina T. Davis, DGO Director Date

DISTRIBUTION:

Activity Manager, MEO, IEE file

PROJECT AND ACTIVITY DESCRIPTION

KOSOVO / SOCIAL CONTRACT

INITIAL ENVIRONMENTAL

EXAMINATION

CONTENTS

1.0 PROJECT/ACTIVITY DESCRIPTION 5

1.1 PURPOSE OF the IEE 5

1.2 PROJECT/ACTIVITY OVERVIEW 5

1.3 PROJECT/ACTIVITY DESCRIPTION 5

2.0 BASELINE ENVIRONMENTAL INFORMATION 6

2.1 LOCATIONS AFFECTED AND ENVIRONMENTAL CONTEXT (ENVIRONMENT,

PHYSICAL, CLIMATE, SOCIAL, Threatened and ENDANGERED species) 6

2.2 APPLICABLE AND APPROPRIATE PARTNER COUNTRY AND OTHER

INTERNATIONAL STANDARDS (E.G. WHO), ENVIRONMENTAL AND SOCIAL LAWS,

POLICIES, AND REGULATIONS 6

2.3 COUNTRY/MINISTRY/MUNICIPALITY ENVIRONMENTAL CAPACITY ANALYSIS (AS

APPROPRIATE) 6

3.0 ANALYSIS OF POTENTIAL ENVIRONMENTAL RISK 7

4.0 ENVIRONMENTAL DETERMINATIONS 7

4.1 RECOMMENDED ENVIRONMENTAL DETERMINATIONS 7

4.2 CLIMATE RISK MANAGEMENT 7

5.0 CONDITIONS AND MITIGATION MEASURES 8

5.1 CONDITIONS 8

5.2 AGENCY CONDITIONS 9

5.3 MITIGATION MEASURES 10

6.0 157.0

15ATTACHMENTS:

KOSOVO / SOCIAL CONTRACT

1.0 PROJECT/ACTIVITY DESCRIPTION

1.1 PURPOSE OF THE IEE

The purpose of this document, in accordance with Title 22, Code of Federal Regulations, Part 216 (22 CFR 216), is to provide a preliminary review of the reasonably foreseeable effects on the environment of the USAID intervention described herein and recommend determinations and, as appropriate, conditions, for these activities. Upon approval, these determinations become affirmed, and specified conditions become mandatory obligations of implementation. This IEE also documents the results of the Climate Risk Management process in accordance with USAID policy (specifically, ADS 201mal).

This IEE is a critical element of USAID’s mandatory environmental review and compliance process meant to achieve environmentally sound design and implementation. Potential environmental impacts should be addressed through formal environmental mitigation and monitoring plans (EMMPs) and/or Environmental Assessments (EAs), if needed.

1.2 PROJECT/ACTIVITY OVERVIEW

The activity will introduce sustainable practices for public participation in order to improve Kosovo citizens’ quality of life and strengthen their partnership with the municipal government. To this purpose, the activity will use a systems thinking approach to lower behavioral, institutional, and other environmental barriers and amplify existing facilitators for public participation in at least 15 municipalities of Kosovo. Based on the analysis of local barriers and facilitators, the contractor will develop public participation plans for each municipality. Each plan will include actions to resolve at least two issues affecting multiple communities in the target municipality as an applied way to test and adapt public participation practices. Community can be understood both as citizens living in a certain locale and as representatives of distinct population and identity groups.

The plans must specify how citizens will be engaged throughout the entire process of identifying and addressing the issues. Each community initiative may be supported by financial or in-kind contributions from USAID in the amount of up to $20,000 per initiative provided the municipality covers at least 20% of the initiative’s cost. Ways to solicit financial, in-kind, volunteer contributions and pro-bono expertise from the local community (citizens, civil society, and businesses) to support the initiatives must be thoroughly explored.

The initiatives may include a wide range of community improvements including but not limited to the establishment of IT spaces, libraries, business incubator spaces, murals, installation of playground equipment, improvements to outdoor public recreation spaces, and community gardens. The initiatives may also necessitate partial support with small additions/annexes to existing structures, small scale renovation and/or refurbishment of existing structures, including to provide handicapped access, and small scale improvements to community infrastructure such as sections of roads, streetlights, heating, small water treatment facilities, or electrical equipment.

1.3 PROJECT/ACTIVITY DESCRIPTION

Objective 1 https://www.usaid.gov/our_work/environment/compliance/22cfr216 https://www.usaid.gov/ads/policy/200/201mal

KOSOVO / SOCIAL CONTRACT

Activities

Activity 1: assessment of the public participation barriers and facilitators in the pilot municipalities

Activity 2: development and implementation of public participation action plans in pilot municipalities including support to at least two community initiatives per municipality.

Activity 3: establishment of an Advisory Council

Activity 4: rapid mid-term learning assessment of activity implementation in pilot municipalities

Activity 5: development and implementation of an advocacy and outreach plan

Activities

Activity 1: assessment of the public participation barriers and facilitators in scale-up municipalities

Activity 2: development and implementation of public participation action plans in scale-up municipalities including support to at least two community initiatives per municipality

Activity 3: monitoring and limited support to the pilot municipalities

Activity 4: development and implementation of an advocacy and outreach plan

Will this project/activity involve construction3 as defined by ADS 201 and 303? Yes X No ☐

2.0 BASELINE ENVIRONMENTAL INFORMATION

The Country Profile for Kosovo is available here and will be updated on at least an annual basis.

3.0 ANALYSIS OF POTENTIAL ENVIRONMENTAL RISK

ACTIVITY: SOCIAL CONTRACT

TABLE 3A. POTENTIAL IMPACTS

Objective 1

3 Construction, as defined by ADS 201 and 303, includes: construction, alteration, or repair (including dredging and excavation) of buildings, structures, or other real property and includes, without limitation, improvements, renovation, alteration and refurbishment. The term includes, without limitation, roads, power plants, buildings, bridges, water treatment facilities, and vertical structures. In the box below, describe any construction planned for this project/activity. Refer to ADS 201maw for required Construction Risk Management procedures.

https://docs.google.com/document/d/1nIkin7ZHRzyHb7_J98NZuzcNrnhbsRRaSprDXWxHZOc/edit?usp=sharing https://www.usaid.gov/sites/default/files/documents/1865/201maw.pdf

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Activities Potential environmental and social impacts

Activity 1: assessment of the public participation barriers and facilitators in the pilot municipalities

None identified

Activity 2: development and implementation of public participation action plans in pilot municipalities including support to at least two community initiatives per municipality

Small-scale construction activities may alter the physical environment and have minor potential impacts on water, land, or air.

Activity 3: establishment of the activity’s establish an Advisory Council

None identified

Activity 4: rapid mid-term learning assessment of activity implementation in pilot municipalities

None identified

Activity 5: development and implementation of an

None identified

Activities Potential environmental and social impacts

Activity 1: assessment of the public participation barriers and facilitators in scale-up municipalities

None identified

Activity 2: development and implementation of public participation action plans in scale-up municipalities including support to at least two community initiatives per municipality

Small-scale construction activities may alter the physical environment and have minor potential impacts on water, land, or air.

Activity 3: monitoring and limited support to the pilot municipalities

Small-scale construction activities may alter the physical environment and have minor potential impacts on water, land, or air.

Activity 4: development and implementation of an advocacy and outreach plan

None identified

4.0 ENVIRONMENTAL DETERMINATIONS

4.1 RECOMMENDED ENVIRONMENTAL DETERMINATIONS

The following table summarizes the recommended determinations based on the environmental analysis conducted. Upon approval, these determinations become affirmed, per 22 CFR 216.

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Specified conditions, detailed in Section 5, become mandatory obligations of implementation, per ADS 204.

TABLE 4: ENVIRONMENTAL DETERMINATIONS

Objective 1

Activities Categorical Exclusion Citation (if applicable)

Negative Determination

Activity 1: assessment of the public participation barriers and facilitators in the pilot municipalities

22 CFR 216(c)(i) 22 CFR 216(c)(iii)

Activity 2: development and implementation of public participation action plans in pilot municipalities including support to at least two community initiatives per municipality

X

Activity 3: establishment of an Advisory Council 22 CFR 216(c)(i) ☐

Activity 4: rapid mid-term learning assessment of activity implementation in pilot municipalities

22 CFR 216(c)(iii) ☐

Activity 5: development and implementation of an

22 CFR 216.2(c)(i) ☐

Activities Categorical Exclusion Citation (if applicable)

Negative Determination

Activity 1: assessment of the public participation barriers and facilitators in scale-up municipalities

22 CFR 216(c)(iii) ☐

Activity 2: development and implementation of public participation action plans in scale-up municipalities including support to at least two community initiatives per municipality

X

Activity 3: monitoring and limited support to the pilot municipalities

X

Activity 4: development and implementation of an advocacy and outreach plan

22 CFR 216.2(c)(i) ☐

4.2 CLIMATE RISK MANAGEMENT

KOSOVO / SOCIAL CONTRACT

Kosovo’s climate is expected to become warmer and drier over time (see the USAID Climate Change Risk Profile, Kosovo4). To minimize the negative impacts of climate change, USAID is required by ADS 201mal5 to incorporate climate change risk screening for all new projects as of October 1, 2016, to better adapt to climate change and maximize results. The climate change screening analysis for USAID/Kosovo activities was updated in January 2020. The climate risk screening for USAID/Kosovo’s strategy found that risks for IR 1.1 and IR 1.2 under the DO1:

Citizens are better served by accountable and effective governance institutions are rated low.

The climate risk screening for the Social Contract activity is attached to this IEE. No climate change considerations are identified. For more information, please refer to Annex 1.

5.0 CONDITIONS AND MITIGATION MEASURES

5.1 CONDITIONS

The environmental determinations in this IEE are contingent upon full implementation of the following general implementation and monitoring requirements, as well as ADS 204 and other relevant requirements.

5.1.1 During Pre-Award:

5.1.1.1 Pre-Award Briefings: As feasible, the design team and/or the cognizant environmental officer(s) (e.g., MEO, REA, BEO) will provide a pre-award briefing for potential offerors on environmental compliance expectations/responsibilities at bidders’ conferences.

5.1.1.2 Solicitations: The design team, in coordination with the A/CO, will ensure solicitations include environmental compliance requirements and evaluation criteria. A/CO will ensure technical and cost proposal requirements include approach, staffing, and budget sufficient for complying with the terms of this IEE.

5.1.1.3 Awards: The A/COR, in coordination with the A/CO, will ensure all awards and sub-awards, include environmental compliance requirements.

5.1.2 During Post-Award:

5.1.2.1 Post-Award Briefings: The A/COR and/or the cognizant environmental officer(s) (e.g., MEO, REA, BEO) will provide post-award briefings for the IP on environmental compliance responsibilities.

5.1.2.3 Workplans and Budgeting: The A/COR will ensure the IP integrates environmental compliance requirements in work plans and budgets to comply with requirements, including EMMP implementation and monitoring.

4https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Ris k%20Profile%20-%20Kosovo.pdf 5 https://www.usaid.gov/sites/default/files/documents/1868/201mal_042817.pdf https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Risk%20Profile%20-%20Kosovo.pdf https://www.climatelinks.org/sites/default/files/asset/document/2017_USAID_Climate%20Change%20Risk%20Profile%20-%20Kosovo.pdf

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5.1.2.4 Staffing: The A/COR, in coordination with the IP, will ensure all awards have staffing capacity to implement environmental compliance requirements.

5.1.2.5 Records Management: The A/COR will maintain environmental compliance documents in the official project/activity file and upload records to the designated USAID environmental compliance database system.

5.1.2.6 Host Country Environmental Compliance: The A/COR will ensure the IP complies with applicable and appropriate host country environmental requirements unless otherwise directed in writing by USAID. However, in the case of a conflict between the host country and USAID requirements, the more stringent shall govern.

5.1.2.7 Work Plan Review: The A/COR will ensure the IP verifies, at least annually or when activities are added or modified, that activities remain with the scope of the IEE. Activities outside of the scope of the IEE cannot be implemented until the IEE is amended.

5.1.2.8 IEE Amendment: If new activities are introduced or other changes to the scope of this IEE occur, an IEE Amendment will be required.

5.1.2.14 USAID Monitoring Oversight: The A/COR or designee, with the support of the cognizant environmental officer(s) (e.g., MEO, REA, BEO), will ensure monitoring of compliance with established requirements (e.g., by desktop reviews, site visits, etc.).

5.1.2.16 Environmental Compliance Mitigation and Monitoring Plan: The A/COR will ensure the IP develops, obtains approval for, and implements Environmental Mitigation and Monitoring Plans (EMMPs) that are responsive to the stipulated environmental compliance requirements.

5.1.2.17 Environmental Compliance Reporting: The A/COR will ensure the IP includes environmental compliance in regular project/activity reports, using indicators as appropriate; develops and submits the Environmental Mitigation and Monitoring Reports (EMMRs); and completes and submits a Record of Compliance (RoC) describing their implementation of EMMP requirements in conjunction with the final EMMR or at the close of sub activities (as applicable). And where required by Bureaus or Missions, ensure the IP prepares a closeout plan consistent with contract documentation for A/COR review and approval that outlines responsibilities for end-of-project operation, the transition of other operational responsibilities, and final EMMR with lessons learned.

5.1.2.18 Corrective Action: When noncompliance or unforeseen impacts are identified, IPs notify the A/COR, place a hold on activities, take corrective action, and report on the effectiveness of corrective actions. The A/COR initiates the corrective action process and ensures the IP completes and documents their activities. Where required by Bureaus or Missions, ensure Record of Compliance is completed.

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5.2 AGENCY CONDITIONS

5.2.1 Sub-award Screening: The A/COR will ensure the IP uses an adequate environmental screening tool to screen any sub-award applications and to aid in the development of EMMPs.

5.2.2 Programmatic IEEs (PIEE): PIEEs stipulate requirements for additional environmental examination of new or country specific projects/activities. The A/COR of any project/activity being implemented under a PIEE will ensure appropriate reviews are conducted, typically through a Supplemental IEE, and approved by the cognizant BEO.

5.2.3 Supplemental IEEs (SIEEs): An SIEE will be prepared for any new project/activity being planned which fall under a PIEE. The SIEE will provide more thorough analysis of the planned activities, additional geographic context and baseline conditions as well as specific mitigation and monitoring requirements.

5.2.4 Other Supplemental Analyses: The A/COR will ensure supplemental environmental analyses that are called for in the IEE are completed and documented.

5.2.5 Resolution of Deferrals: If a deferral of the environmental threshold determination was issued, the A/COR will ensure that the appropriate 22CFR216 environmental analysis and documentation is completed and approved by the BEO before the subject activities are implemented.

5.2.6 Positive Determination: If a Positive Determination threshold determination was made, the A/COR will ensure a Scoping Statement, and if required an Environmental Assessment (EA), is completed and approved by the BEO before the subject activities are implemented.

5.2.7 Compliance with human subject research requirements: The AM, A/COR shall assure that the IP and sub-awardees, -grantees, and -contractors demonstrate completion of all requirements for ethics review and adequate medical monitoring of human subjects who participate in research trials carried out through this IEE and ensure appropriate records are maintained. All documentation demonstrating completion of required review and approval of human subject trials must be in place prior to initiating any trials and cover the period of performance of the trial as described in the research protocol.

5.3 MITIGATION MEASURES

The activity is expected to involve some small-scale construction as part of municipal level public participation action plans. Community improvements will be decided by the municipalities and citizens during public participation action plan development. USAID expects establishment of IT spaces, libraries, business incubator spaces, mural paintings, installation of playground

KOSOVO / SOCIAL CONTRACT

equipment, improvements to outdoor public recreation spaces, and community gardens. The initiatives may also necessitate partial support with small additions/annexes to existing structures, small scale renovation and/or refurbishment of existing structures, including to provide handicapped access, and small scale improvements to community infrastructure such as sections of roads, streetlights, heating, small water treatment facilities, or electrical equipment.

The ADS definition of construction generally includes improvements, renovation, alteration and refurbishment. However, the definition does not include non-structural, cosmetic work, including painting, floor covering, wall coverings, window replacement that does not include changing the size of the window opening, replacement of plumbing or conduits that does not affect structural elements, and non-load bearing walls or fixtures (e.g., shelves, signs, lighting, etc.). In order to ensure that these minor improvements do not cross a line into construction, the contractor will use a Simplified Environmental Review Form (SERF), in a format to be mutually agreed upon by the BEO, MEO and USAID/Kosovo,as part of the COR sub-activity approval. Provided that the COR determines that no additional review is necessary, no MEO or BEO approval of these sub-activities is required. The BEO will receive an informational copy of all SERFs completed under this activity. For community initiatives that fall under the definition of construction and/or may have a significant adverse effect on the environment, the COR and the MEO will discuss on a case by case basis whether the initiative should be subject to the mitigation measures below.

The following mitigation measures will apply to all small scale construction subject to a negative determination with conditions under this award:

● Solvents, paints, and other hazardous materials must be disposed of in accordance with European Union guidelines

● No use of Asbestos Containing Material, lead pipes, or lead-based paint; materials containing formaldehyde must be in accordance with the European E0; proper disposal of construction debris; and proper site drainage. If Asbestos Containing Material must be removed, contractors must follow internal and host country government norms for abatement and disposal as specified in the terms and conditions of the contract

● Minimize vegetation removal and excavation, and plan for revegetation and replanting of removed trees and shrubs

● No pesticides will be purchased with USAID funds for community gardens or other similar community improvement activities

● Utilize existing assets and infrastructure, and re-use and recycle onsite aggregates and spoil where possible

● Training for municipal employees on sound environmental practices for small-scale construction

● COR will review sub-activity approval packages to monitor compliance with terms and conditions of the contract related to environmental protections under Kosovo law.

However, it is the contractor’s responsibility, not USAID, to ensure compliance with local law in accordance with the terms and conditions of the contract with USAID.

The following types of community improvements will additionally require an EMMP/ERC

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(in a format to be mutually agreed upon by the BEO, MEO and USAID/Kosovo) to ensure that the activity will not have a significant effect on the environment under 22 CFR 216.2(d):

improvements related to roads, small water treatment facilities, small additions/annexes to existing structures, and any small-scale construction not specifically described above. Where possible, the COR will group together multiple similar activities into a single EMMP/ERC. The MEO and BEO generally review and concur with EMMP/ERCs. The BEO may delegate BEO concurrence for the EMMP/ERC to the MEO where appropriate.

6.0 LIMITATIONS OF THIS INITIAL ENVIRONMENTAL EXAMINATION

The determinations recommended in this document apply only to projects/activities and sub-activities described herein. Other projects/activities that may arise must be documented in either a separate IEE, an IEE amendment if the activities are within the same project/activity, or other type of environmental compliance document and shall be subject to an environmental analysis within the appropriate documents listed above.

Other than projects/activities determined to have a Positive Threshold Determination, it is confirmed that the projects/activities described herein do not involve actions normally having a significant effect on the environment, including those described in 22 CFR 216.2(d).

In addition, other than projects/activities determined to have a Positive Threshold Determination and/or a pesticide management plan (PERSUAP), it is confirmed that the projects/activities described herein do not involve any actions listed below. Any of the following actions would require additional environmental analyses and environmental determinations:

● Support project preparation, project feasibility studies, or engineering design for activities listed in §216.2(d)(1);Affect endangered and threatened species or their critical habitats per §216.5, FAA 118, FAA 119;

● Provide support to extractive industries (e.g. mining and quarrying) per FAA 117;

● Promote timber harvesting per FAA 117 and 118;

● Lead to new construction, reconstruction, rehabilitation, or renovation work per

§216.2(b)(1);

● Support agro-processing or industrial enterprises per §216.1(b)(4);

● Provide support for regulatory permitting per §216.1(b)(2);Lead to privatization of industrial facilities or infrastructure with heavily polluted property per §216.1(b)(4);

● Research, testing, or use of genetically engineered organisms per §216.1(b)(1), ADS

● Assist the procurement (including payment in kind, donations, guarantees of credit) or use (including handling, transport, fuel for transport, storage, mixing, loading, application, clean-up of spray equipment, and disposal) of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials.

Pesticides cover all insecticides, fungicides, rodenticides, etc. covered under the Federal Insecticide, Fungicide, and Rodenticide Act per §216.2(e) and §216.3(b).

7.0 REVISIONS

KOSOVO / SOCIAL CONTRACT

Per 22 CFR 216.3(a)(9), when ongoing programs are revised to incorporate a change in scope or nature, a determination will be made as to whether such change may have an environmental impact not previously assessed. If so, this IEE will be amended to cover the changes. Per ADS 204, it is the responsibility of the USAID A/COR to keep the MEO/REA and BEO informed of any new information or changes in the activity that might require revision of this environmental analysis and environmental determination.

ATTACHMENTS:

Annex 1: Climate Risk Management Summary Table for Activity about:blank

ANNEX 1. PROJECT CLIMATE RISK MANAGEMENT SUMMARY TABLE

Tasks/Defined or Illustrative Interventions

Climate Risks6 Risk Rating7

How Risks are Addressed8

Opportunities to Strengthen

Climate Resilience9

OBJECTIVE 1:

Activities 1, 3, 4, 5

No risks identified Low No risks identified. The contractor monitors the implementation of the activities to ensure they do not create any climate risks in the future.

Activity 2: development and implementation of public participation action plans in scale-up municipalities including support to at least two community initiatives per municipality

- Citizens, particularly those already marginalized, further disenfranchised by ineffective government preparedness and response to climate-related impacts (e.g., flooding, landslides, forest fires, heat stress)

Low - The community initiatives in each municipality will be identified in a participatory and inclusive manner. The process will be structured so that all the communities affected by the selected issue will be invited to share their concerns. In addition, the contractor will track all the

The contractor will consider opportunities to raise awareness about climate change issues in Kosovo as appropriate.

6 List key risks related to the defined/illustrative interventions identified in the screening and additional assessment.

7 Low/Moderate/ High 8 Describe how risks have been addressed in activity design and/or additional steps that will be taken in implementation. If you chose to accept the risk, briefly explain why.

9 Describe opportunities to achieve multiple development objectives by integrating climate resilience or mitigation measures

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- The public and the government are not responsive, so the climate risks (flooding, drought, etc) are not being addressed adequately interventions to ensure that any potential climate-related risks are identified and mitigated in a timely manner

OBJECTIVE 2:

Activities 1 and 4

No risks identified Low No risks identified. The contractor monitors the implementation of the activities to ensure they do not create any climate risks in the future.

Activity 2: development and implementation of public participation action plans in pilot municipalities including support to at least two community initiatives per municipality

AND

Activity 3: monitoring and limited support to the pilot municipalities

- Citizens, particularly those already marginalized, further disenfranchised by ineffective government preparedness and response to climate-related impacts (e.g., flooding, landslides, forest fires, heat stress)

- The public and the government are not responsive, so the climate risks (flooding, drought, etc) are not being addressed adequately

Low - The community initiatives in each municipality will be identified in a participatory and inclusive manner. The process will be structured so that all the communities affected by the selected issue will be invited to share their concerns. In addition, the contractor will track all the interventions to ensure that any potential climate-related risks are identified and mitigated in a timely manner

The contractor will consider opportunities to raise awareness about climate change issues in Kosovo as appropriate.

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ENVIRONMENTAL COUNTRY PROFILE FOR KOSOVO

May 2021

BASELINE ENVIRONMENTAL INFORMATION

1. LOCATIONS AFFECTED AND ENVIRONMENTAL CONTEXT (ENVIRONMENT, PHYSICAL, CLIMATE,

SOCIAL, THREATENED AND ENDANGERED SPECIES)

The environment—including environmental issues, problems, and threats to the environment—in Kosovo receives very little attention and is a low priority in the government’s agenda. Kosovo has environmental laws and policies, though government institutions are struggling to plan and implement programs accordingly.

There are few small success stories, but overall, environmental awareness is low and the implementation of programs to address threats and issues is small.

Water resources in Kosovo, their protection, their use, and their treatment have a key role in the nation’s environmental picture. The country is a virtual water tower in the central Balkan region.

Elevations in the central part of the country range from 400 to 700 meters, while mountains on the borders, especially the west and south, range upwards of 2,500 meters. This also means that all surface water flows out of Kosovo; no water flows into the country from outside of its borders.

Transboundary agreements, treaties, and policies that reflect the protection of water resources (including aquatic ecosystems and species), the treatment of pollutants flowing into surface waters and being absorbed into groundwater, and access to water by citizens are key environmental considerations to be addressed.

Water, clean water, can be the common focal point for Kosovo’s environmental causes. Adequate supplies, especially for economic development and high current use by the energy sector, are recognized as weak and shortages already occur in the drier summer months, especially in urban areas. Protection of watersheds by vegetative (tree) cover is poor, resulting in erosion into surface (storage) reservoirs and streams. Lack of forested cover on watershed areas needed for drinking and industrial uses also means that infiltration into underground aquifers is being impaired. And, finally, the lack of wastewater treatment facilities means that the surface waters function as disposal conduits for all manner of sewerage and pollutants from residential, municipal, and industrial sources.

Also, Kosovo has difficulty meeting peak demand for electricity. Electrical energy still predominantly comes from coal-fired power plants despite efforts to increase penetration of solar and wind sources in the energy mix. Hydropower supplies 3–6 percent and expansion is limited by the unequal distribution and inadequacy of water resources. In addition, Kosovo is also at risk from flooding in lowlands, flash flooding in upland areas and dam breaks.

2. APPLICABLE AND APPROPRIATE PARTNER COUNTRY AND OTHER INTERNATIONAL STANDARDS

(E.G. WHO), ENVIRONMENTAL AND SOCIAL LAWS, POLICIES, AND REGULATIONS

Kosovo has laws that are harmonized with EU environmental standards. However, not all of these laws have the needed sub-laws, regulations, and policies for implementation. Key environmental policy documents include the Kosovo Environmental Strategy 2013-2022, adopted by the Government of Kosovo (GoK) in 2013.

The Kosovo Assembly has adopted several laws related to the environment. The State of Environment Report in Kosovo is published every two years by the Kosovo Environmental Protection Agency (KEPA). KEPA collects the environmental data from monitoring institutions, companies, operators and

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different establishments, publications, reports and other sources. The Report establishes a firm foundation for cooperation and coordination with the European Environmental Agency (EEA) and EIONET2. The latest Kosovo Environmental indicators report10 has been published in 2020 by KEPA.

This report covers the State of the Environment in Kosovo through environmental indicators based on the Law on Environmental Protection. According to article 50 point 4 of this law: “Environmental monitoring is performed through systematic measurements, research and evaluation of indicators of state and environmental pollution which include monitoring of natural factors, respectively change of state and characteristics of environment, air, water, soil, forests, biological and landscape diversity, flora, fauna, climatological elements, ozone layer, noise, waste, etc.”

The GoK adopted the Law on Waters (2004/24) on October 14, 2004. The Kosovo Water Law sets provisions for the development of the Water Management Strategy and Action Plan. The GoK has issued a sub-legal act for the drafting of the Water Resources Management Plan. Kosovo’s national policy includes the process of EU integration. One of the challenges is the fulfillment of EU environmental standards and harmonization of national legislation with EU legislation. Kosovo is working to harmonize with EU directives through Frame Directive for Waters (2006/12/EC), Directive for Urban Contaminated Waters (91/271/EEC), Directive for Potable Water (98/83/EC), and Directive for Nitrates (91/676/EEC). In addition, Kosovo has the National Water Strategy for the period of 2017- 2036.11

Apart from the Law on Environmental Protection (2003), the Law on Air Protection (2004) was drafted in accordance with certain EU Directives. The Law on Air Protection categorizes main pollution sources, sets basic air pollution indicators and obligations, and recommends adoption of limits for air discharge according to EU and World Health Organization (WHO) standards. In its harmonization efforts EU directives, Kosovo is working through the Frame Directive for Environmental Air Quality (2006/62/EC), Directive for Value Limits of SO2, NOx, particulate matter) and lead in Environmental Air (99/30/EC), Directive for Benzene and Carbon Monoxide (2000/3/EC), and Directive for Ozone (2002/3/EC) to reach harmonization with EU standards.

The Assembly approved the Waste Law on July 22, 2005. This Law was prepared according to relevant EU Directives and the experiences of neighboring countries. The most important document which will need to be approved and enforced is the National and Municipal Waste Management Strategy with Action Plan, where main directions for waste management will be defined and long-term needs in local and national level will be assessed. In trying to harmonize with EU standards, Kosovo is working through Directive for Waste (2006/12/EC), Directive for Hazardous Waste (91/689/EC), Directive for Waste Dumping Sites (99/31/EC), Directive for Waste Incineration (2000/76/EC), and Directive for Hazardous Substances (67/548/EEC).

3. COUNTRY/MINISTRY/MUNICIPALITY ENVIRONMENTAL CAPACITY ANALYSIS (AS APPROPRIATE)

The Ministry of Environment, Spatial Planning and Infrastructure (MESP) is the lead environmental institution responsible for the preparation and implementation of environmental laws. A municipality may exercise responsibility for those environmental matters originating, or likely to originate, within their municipality, if programs can be handled, controlled, prevented, financed, or managed. Municipal responsibilities include establishing standards and ensuring compliance with standards, protection of

10 https://www.ammk-rks.net/repository/docs/Mjedisi_i_Kosov%C3%ABs_2020_Raport_i_treguesve_mjedisor%C3%AB_- _ANGLISHT.pdf

11 http://knmu.kryeministri-ks.net/repository/docs/Water_Strategy_final.pdf

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the environment within the municipality, and establishing measures consistent with sustainable economic development.

MISSION CLEARANCES: ENVIRONMENTAL COUNTRY PROFILE FOR KOSOVO:

Rebecca Hammel, Regional Legal Officer, cleared 5/18/21

Zeinah Salahi, Deputy Mission Director, cleared May 18, 2021

Lisa Magno, Mission Director approved May 23, 2021