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INDIA: UTTAR PRADESH SODIC LANDS RECLAMATION III PROJECT
Baseline Survey
Terms of Reference
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BACKGROUND
1.1 The Government of Uttar Pradesh (GoUP) is in the process of preparing the UP
Sodic Lands Reclamation Project (UPSLRP) III 1 with proposed financing from the World
Bank. The development objective of the proposed project is to increase agricultural productivity in selected areas of degraded lands in UP. The objective will be achieved through reversal of water-induced land degradation, enhancement of soil fertility and improved provision of agricultural support services. It aims to sustainably reverse the process of land degradation and fertility loss, thus enhancing agricultural productivity. By focusing on the reclamation of land for the poorest section of farmers, the project is expected to contribute significantly to poverty alleviation and improved food/nutrition security in the project areas. It is expected to have favorable environmental impacts, as was seen in earlier efforts of sodic land reclamation, wherein, independent studies show that, over a ten-year period, there was a five-fold increase in floral and faunal diversity and seven-fold increase in microbial biomass carbon. The project will also help towards closing the “productivity gap” in agriculture in the state by improving extension to promote new agricultural technologies and agronomic practices.
1.2 The project includes a number of activities which could have favorable impact on agriculture and socio-economic aspects of the districts falling under the project at the individual project activity level. However, the cumulative impact of all activities might be significant. Therefore, there is a need to anticipate various paradigms of the project outputs/outcomes and assess the current status of various indicators under the baseline survey. It is in this context that, as part of the project preparation, it is planned to undertake a study for assessing the current status of project villages under the baseline survey of the proposed project through a qualified social and management consultancy firm/organization. In this regard, detailed Terms of Reference (TORs) has been prepared to help the interested consultants understand the scope of work and expected output. The
Baseline Survey document would then act as an indicator for regular monitoring of the project activities and evaluation of the project after closure.
2. PROJECT COMPONENTS
The project will have the following five components:
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The Government of U.P. has submitted UP Sodic Lands Reclamation Project III to The
World Bank for financial assistance under IDA and all expenditure incurred on of the
Baseline Survey would be booked under the project.

2.1 Land Treatment and On-Farm Development: This component will form the core of the project, accounting for more than half of the project costs. The objective of this component is to sustainably reverse water-induced land degradation (salinization, sodification and water-logging) in the targeted areas. Activities to be financed under this component would include: (a) detailed mapping and classification of sodic lands to facilitate adoption of appropriate management techniques to develop sodic lands; (b) formation of water user groups (WUGs); (c) clarifying and confirming land titles and tenure arrangements; (d) on-farm development through land-levelling, bunding and improved drainage network (connecting field drains to link drains and main drains); (e) provision of shallow tube wells to help in reclamation operations and provide irrigation; and (f) application of chemical/organic amendments and plant nutrients to the soil to boost productivity.
The intervention model to be followed under this component has been developed and validated in the earlier phases of Sodic Lands Reclamation Project. The expected results from this component, in the reclaimed areas, are: (i) improved soil quality; (ii) increased productivity; and (iii) higher cropping intensity.
2.1(a) Ravine Land Reclamation as a Pilot : It is proposed to include in this project a pilot on reclamation of ravine lands. In line with 2005 State Agricultural Policy, emphasizing need for reclamation of problematic soils and bringing them under cultivation in the proposed project. Actual area of ravine land to be piloted would be finalized during the course of project preparation.
2.2 Improvement of Drainage Systems : The objective of this component is to improve and better maintain drainage networks in the project area which will help to remove leach effluents, excess rain and irrigation water from reclaimed and adjoining areas. The activities to be financed under this component include (a) re-modeling and rehabilitation of main drains; (b) maintenance of main drains; and (c) training and capacity building of Irrigation Department (ID) staff and WUGs for appropriate O&M of drainage works.
The remodeling and rehabilitation of main drains will be undertaken by ID through participatory processes that involve stakeholder consultation in planning, design and execution of the physical works. The maintenance of rehabilitated main drains will be done by the ID and that of link drains and field drains by relevant WUGs. The expected results from this component are: (i) length of main drains rehabilitated and maintained;
(ii) increased drainage capacity of main drains; (iii) land area relieved from waterlogging; and (iv) increased productivity.
2.3 Agricultural Support Services : The objective of this component is to enhance farm livelihoods by increasing productivity of agriculture and related activities through improved production technology and agronomic practices and more efficient and effective delivery of key support services. The activities to be financed under this component include: (a) training of farmers in effective land and water management practices, including efficient water use, drainage, and crop planning; (b) upgrading
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agricultural technology and production practices (for agriculture and livestock) through field-level demonstrations; (c) exposure visits, rural fairs, animal health camps and other
“means” for rural communication and outreach; and (c) training and capacity building of line department staff and other relevant providers of support services to farmers. The expected results from this component are: (i) increased productivity; (ii) greater cropping intensity; and (iii) crop diversification.
2.4 Institutional Strengthening and Capacity Building for Market-Oriented
Production : The objective of this component is to improve the profitability of farm production by enhancing local-level capacities to align production with market demand, enable producers to access finance and other critical inputs, and provide post-production support for value-adding activities. Activities to be financed under this component include: (a) strengthening of WUGs, self-help groups (including possible support for groups formed under earlier projects) and other producer groups; (b) facilitating linkages that improve farmer access to finance and other critical inputs; (c) developing greater access to (non-traditional) markets; and (d) promoting post-harvest value-addition, as appropriate. The expected results from this component are: (i) increased share of produce marketed; (ii) improved price terms for farmers; and (iii) increased access to nontraditional markets.
2.5 Project Management: The objective of this component is to ensure smooth implementation of project activities, monitoring of project implementation progress and outputs/outcomes achieved, and learning from project experience. Activities to be financed include: (i) setting up and supporting project management units at the state and district levels; (ii) project M&E and learning activities, including assessment of environmental impacts, NGOs and sustainability of land reclamation; (iii) services of an external M&E agency to be engaged as consultants for the duration of the project; (iv) providing support for emerging needs and innovations during implementation; (v) liaising with project partner organizations, support organizations, external professional agencies and the World Bank; and (vi) documentation of project experience and its dissemination to the wider development community.
At the state level, the main implementing agencies are expected to be the Uttar Pradesh
Bhumi Sudhar Nigam (UPBSN) and the departments of agriculture and irrigation. At the local level, project planning/coordination committees will be established at village panchayat, block and district levels, with a convergence plan developed to help these committees interact better with existing public institutions as well as government development programs at these levels.
3. OBJECTIVES
3.1 The main objective of preparing the baseline database is to identify the key issues related with project area, generate related data and to develop indicators for all components of the project to be monitored during project implementation and to be used for project evaluation.
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3.2 The baseline survey would provide strategic information about the project area, project beneficiaries, which would attempt to achieve the following:
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To generate baseline data for planning and designing the project.
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To identify key indicators, methods of measuring them and give baseline figures against the indicators to enable an objective assessment of impact of the project at regular intervals and end of the project.
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OUTLINE OF THE TASKS TO BE CARRIED OUT BY THE CONSULTANCY
FIRM
4.1 As part of project preparation for the UPSLR III P, a baseline survey will be undertaken. The proposed survey will collect information that will aid in project planning and identifying development indicators as well as provide a basis for monitoring and evaluating the impact.
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In order to conduct the baseline survey, the consulting firm would have to perform following tasks:
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To specify, using project design and details of intended project activities, a relevant the list of indicators for which baseline data will be collected
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To specify the methodologies to be used for collection of information for the various indicators specified
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To develop a sample frame of the baseline survey
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To develop a questionnaire for baseline survey
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Translation of questionnaire into local language
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Field testing of the questionnaire
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Incorporation of revision into the questionnaire after field testing
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Documentation of completed questionnaire
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To conduct survey and ensure quality control
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Develop the data entry program, supervise the project database and arrange for data cleaning and entry
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Analyze and report the findings of the survey and final documentation
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To provide data in the database form to the client
4.3 Survey Design
An appropriate sample frame for the UPSLR III P baseline survey will be developed by the selected firm in consultation with the UPBSN.
The baseline survey consists of three aspects (i) a household survey, (ii) a village level survey, and (iii) other empirical investigations as appropriate. Although details of the
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empirical tools to be used and the set of information to be collected will be developed by the consultant, and finalized after discussion with the UPBSN, it is expected that the collection exercise will cover the following types of information. The household survey will collect information on household demographics, income, asset ownership, land use patterns, agricultural production, access to and use of irrigation, extension and marketing, and so on. The village questionnaire will be used to develop village profiles. The information collected in this module will include major cropping patterns in the village, sources of irrigation and patterns of irrigation use, the prevailing social and economic infrastructure in the village, prevailing prices of selected commodities and inputs, and details on any existing water user associations and other village-level economic groups.
This questionnaire will be completed by interviewing a cross-section of the village population including farmers, local leaders such as the Gram Pradhan, local government officials, and so on. A village questionnaire will need to be completed in each selected village and set the benchmark for various development indicators.
As part of the data collection exercise, appropriate “control” or reference groups will be defined for indicators which are likely to change under the impact of project interventions. Data for these control groups will be collected and reported as part of the baseline survey.
The draft survey questionnaires will be provided by the selected consultancy firm to the client, which would be field tested by the consultants and with the observations, the questionnaire would be finalized by the client.
4.4 Proposed sample design
4.41 For Sodic Land
(a) The total sample for the project areas should include 3 zone of the UP; eastern, western and central zone, where the sodic reclamation project is to be taken up.
(b) In each zone, 3 project districts to be selected, thus 9 districts to be covered in the baseline survey.
(c) In each project districts, 5-6 villages to be selected, thus 45-54 villages to be covered and in every selected village 15-20 households to be covered in the baseline survey.
(d) In each project village, farm household will be selected for survey by appropriate stratified random sampling methods.
4.42 For Ravine Land
(a) The total sample for the project areas should include the districts where the ravine reclamation project is to be taken up.
(b) In each project district, 1 or more villages to be selected (depending upon the number of “pockets” identified for project intervention.) However, the final choice of villages will depend in part on the outcome of the identification exercise for ravine lands reclamation.
(c) In each project village, all farm household will be selected for survey.
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4.5 Specific Tasks
The selected consulting firm will lead the following activities in collaboration with UPBSN:
(i) Developing the sample frame and sampling methodology: a) Using the project description and details of project activities provided by UPBSN, develop a set of relevant indicators that would need to be monitored for assessing project impact and effectiveness.
(b) For each indicator identified, specify the data collection methodology, including data collection method (e.g., individual/group survey, questionnaire, focus group discussion, etc) and relevant “control” or reference sites.
(c) To recommend the methodology for sampling, develop the sample frame and then select the sample. The final sample and details of the statistical methodology used to select the sample need to be cleared by UPBSN.
(d) The selected firm will develop the sample weights and provide documentation on the methodology used to develop the weights.
(ii) Development of survey questionnaires: a) Lay out, refinement and adaptation of the data collection instruments questionnaires. In particular the selected firm will be responsible for tailoring the draft questionnaire and assuring that they are adequate to collect baseline data on the selected indicators to list of indicative indicators is included in the survey.
Revisions of the questionnaire should be made in consultation with UPBSN and the final version of the questionnaire should be cleared by UPBSN. b) The firm will also be responsible for preparing all support documentation including coding guides, interviewer and supervisor manuals and the data entry manual. Hard copies and electronic versions of all versions of all documentation need to be provided to UPBSN.
(iii) Implementation of the Baseline Survey:
(a) To conduct survey and ensure quality control
(b) Develop the data entry program, supervise the project database and arrange for data cleaning and entry
(c) Analyze and report the findings of the survey and final documentation
(d) Provide data in the database form to the client
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5.
METHODOLOGY
The guidelines below are indicative for the purpose of preparing the initial proposal for consultancy. The final methodology will be proposed by the consultant firm and finalized in agreement with UPBSN.
From the point of view of survey planning and monitoring of the project, the two major aspects which needed to be focused are agriculture and socio-economic situation of the farmers. Identification of various indicators and the benchmark data of such indicators.
The impact generation resulting in implementation of the project would be monitored on the basis of data collected under baseline survey. It would also have socio-economic parameters and changes in quality of life of the project beneficiaries. So, the baseline survey should collect all relevant data to be used in developing project indicators for further uses.
6. TIME FRAME
The entire baseline survey should be completed within 3 months from the award of the assignment. The emphasis is that time frame indicated in this TOR must be strictly adhered to while providing the outputs at the various stages during the course of the assessment.
6.1 The following reports shall be submitted by the Consultants covering the expected outputs as indicated above:
(a) Inception Report.
Inception report describing proposed approach and methodology for conducting the baseline survey, formats and questionnaires for baseline survey of potential families, guidelines for survey, list of sample project locations based on simple criteria and carry out brief field surveys, procedures for data collection. In addition, it will briefly describe how the baseline survey will be conducted, its process and design.
Number of copies: 10 and electronic version. The Inception Report is due within 15
days of signing of Contract.
(b) Interim Report describing methodology adopted, progress achieved summary of data collected and a table of contents and outline of final information with description of each indicator.
Number of copies: 10 and electronic version. The Interim Report is due within 40
days of signing of Contract.
(c ) Draft Report to be prepared by the Consultants will be in the approved format. The report, including baseline data and findings, should be developed in a clear, logical and readable manner. This will include an executive summary of not more than 15 pages. The Consultants will also submit any additional material that was collected as part of the project that may be of use to the proposed project. An electronic version of the reports will also be submitted (e.g. in MS Word format) for dissemination and discussion purposes.
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Number of copies: 15 and electronic version (on 5 CD-ROMs). The Draft Report is due within 70 days after signing of Contract
(d) Final Report. Draft final modified as per comments.
Number of copies: 20 and electronic version (on 20 CD-ROMs). Final Report is due
within 90 days after signing of the Contract. It should also included base line data in database format.
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SUPPORT/INPUTS TO BE PROVIDED BY THE CLIENT
Client (UPBSN) shall provide access to all places and related documents and interaction with related personnel to the members of consultancy firm.
8. REVIEW COMMITTEE
The Inception Report, Draft Report and Final Report will be reviewed by a Committee consisting of Managing Director-UPBSN, Committee on Project Implementation Plan-
UPBSN headed by Joint Managing Director-UPBSN and the members of consultancy firm.
9. EXPERTISE REQUIRED
9.1 An illustrative staffing table is presented below, but consultants are free to employ resources (including the time for each team member) as they see fit, keeping in mind that ‘adhering to time schedule’ is essence for the study. Experts with national/international exposure on similar assignments and who have experience of working with the World Bank and/or other international donor institution (e.g., ADB, EU etc) financed projects would be preferred. Applicants for the consultancy are expected to demonstrate experience of undertaking similar assignments in the past, particularly in the agriculture and irrigation sector. Experience of similar assignments undertaken in the past would be given preference.
Team Composition
Team Leader (Social
Scientist)
Qualification
A senior Social Scientist with Post Graduate Degree in
Economics, Sociology or other relevant discipline and substantial work experience in conducting similar studies/research work (7 years of experience in conducting studies / research work is desirable).
Agricultural Expert An Agricultural Expert with Post Graduate Degree in Agricultural
Sciences discipline and substantial work experience in conducting similar studies/research work (5 years of experience in conducting studies / research work is desirable).
Economist An Economist with Post Graduate Degree in Economics and good quantitative skills (with statistical analysis and presentation of data) and substantial work experience in conducting similar studies/research work (5 years of experience in conducting studies
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Sociologist/Social
Scientist
Technical Support including management analysis data and
Survey team
/ research work is desirable).
An Sociologist/ Social Scientist with Post Graduate Degree, especially with expertise in conducting household surveys, groups discussions and other field-based data gathering techniques , and substantial work experience in conducting similar studies/research work (5 years of experience in conducting studies / research work is desirable).
Graduates with 3-4 years experience in organizing stakeholders’ consultations, supervising field data collection, data entry and generating reports. Proficiency with MS Office Word/Excel/Power
Point/Access) and some field survey experience would be useful.
Graduates with 3-4 years experience in field surveys including structures interviews, filing of survey formats etc.
10. INFORMATION TO BE FURNISHED ALONG WITH EOI
The firm applying for the above consultancy should furnish following information:
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Details of registration of firm.
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Details of experience of handling similar assignments in Agriculture and
Irrigation Sector (along with Client’s Name, address, Phone No. and e-mail address).
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Details of experience of handling similar assignments for externally aided projects(along with Client’s Name, address, Phone No. and e-mail address).
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Documentary evidence of successfully and timely completion of assignments.
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Details of turnover of firm (Balance Sheet and Profit & Loss Accounts).
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C.V. of Team Leader and key personnel proposed for the assignment.
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Documents related to the geographical orientation.
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