The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
Concept Environmental and Social Review Summary
Concept Stage
( ESRS Concept Stage)
Public Disclosure
Date Prepared/Updated: 03/02/2023 | Report No: ESRSC03039
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
BASIC INFORMATION
A. Basic Operation Data
Operation ID Product Operation Acronym Approval Fiscal Year
P179357 Investment Project Financing (IPF) UCRRF 2024
Operation Name Uttarakhand Climate Responsive Rainfed Farming Project
Country/Region Code Beneficiary country/countries Region Practice Area (Lead)
(borrower, recipient)
India India SOUTH ASIA Agriculture and Food
Borrower(s) Implementing Agency(ies) Estimated Appraisal Date Estimated Board Date
Department of Watershed Management Directorate 16-Oct-2023 20-Feb-2024
Economic Affairs
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Proposed Development Objective
Improving the resilience and productivity of smallholder agriculture for increased profitability with low GHG emissions
Financing (in USD Million) Amount
Total Operation Cost 131.00
B. Is the operation being prepared in a Situation of Urgent Need of Assistance or Capacity Constraints, as per Bank IPF
Policy, para. 12?
No
C. Summary Description of Proposed Operation [including overview of Country, Sectoral & Institutional Contexts and
Relationship to CPF]
The project will work towards (i) reduction of net GHG emission relative to control villages with similar cropping
pattern; (ii) achievement of resilience of production systems by adopting precision-farming techniques; and (iii)
increased profitability through enhanced productivity, reduced cost of cultivation, and additional income through
carbon credits. An integrated digital platform for evidence-based decision-making will support the project activities.
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
The project will focus on small and marginal farmers, including women farmers, and landless households. The project
will be implemented in 1,226 villages covering a catchment area of 243,418 hectares (ha), which includes arable and
non-arable land.
D. Environmental and Social Overview
D.1. Detailed operation location(s) and salient physical characteristics relevant to the E&S assessment [geographic,
environmental, social]
The UKCRRFP project will be implemented in the state of Uttarakhand, situated in the northwestern part of India.
Most of the northern part of the state is covered by high Himalayan peaks and glaciers. The terrain and topography is
largely hilly (covering 46035 sq.km out of total geographical area of 53483 sq.km) with snow covers and steep slopes.
The state has 3.4 million hectares area under forests, which constitutes 61.45% of the total area with unique
ecological diversity with as many as 3748 faunal species inventoried and documented. The state has two distinct
climatic regions: the predominant hilly terrain with temperate climate and the small plain region with tropical climate.
The average annual rainfall is 1550 mm. The Land Survey Directorate (LSD) has divided Uttarakhand into eight
catchments, which are divided into 26 watersheds (400-1000ha). These are divided into 110 small watersheds (10-40
ha) and finally there are 1,110 micro watersheds (0-10 ha). The project locations include existing cultivated land in
rural areas, most of these located in hilly, undulating terrains. The state is vulnerable to climate change, especially the
regions under rainfed farming, which will require suitable adaptation strategies.
As per 2011 census, Uttarakhand has a population of 10,086,292 comprising 5,137,773 males and 4,948,519 females,
with 69.77% of the population living in rural areas. The population density of the state is 189 per sq. km. The state has
Public Disclosure
a 2001–2011 decadal growth rate of 18.81%. The gender ratio is 963. The crude birth rate is 18.6 with the total
fertility rate being 2.3. The state has an infant mortality rate of 43, a maternal mortality rate of 188 and a crude death
rate of 6.6. The state has 18.8% SC population and 2.9% ST population. The state has literary rate of 78.82% (87.4%
Male and 70.01% Female). Tribes of Uttarakhand mainly comprise five major groups namely Jaunsari tribe, Tharu
tribe, Raji tribe, Buksa tribe and Bhotiyas. In terms of population, Jaunsari tribe is the largest tribal group of the state.
Tribes of Uttarakhand represent the ethnic groups residing in the state. Every district of Uttarakhand has more or less
a moderate percentage of tribal population. In the state of Uttarakhand, the main concentration of tribal population
is in the rural areas. The state has Transhumant population which include the Bhotiya/ Anwal/ Van Gujjars/ Nomadic
groups. Agriculture is a significant contributor to Uttarakhand’s Gross State Domestic Product (11% in 2011-12). It is
the chief source of livelihood for over 70% of its population. Uttarakhand is placed 13th out of the 30 states in the
first-ever nationwide Gender Vulnerability Index (GVI). An increasing number of the state’s women are withdrawing
from the labor force. This is especially true in rural areas where women predominantly work in farming. Very few
urban women work but, where they do, the type of jobs they hold are similar to those held by men.
D. 2. Borrower’s Institutional Capacity
The UKCRRFP will be implemented by Watershed Management Directorate (WMD) of Uttarakhand, which provides
leadership and oversight to the project. The WMD has already implemented two consecutive watershed management
projects following Bank Safeguard Policies and have good understanding and capacity to follow environmental and
social requirements under Safeguard Policies. Adequate capacity for managing environment and social issues was
built up through the state institutional structures and maintained throughout the project lifetime. The environmental
and social risks and impacts were mitigated by the previous projects through preparation and implementation of
Environmental and Social Management Framework, Environmental and Social Management Plans. The environmental
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
and social risks of the proposed project activities and institutional capacities to implement the ESF will be assessed
during the project preparation and based on the findings, the section on Borrowers Institutional Capacity will be
further refined. An Environment and social management specialist will be hired as part of the core project PMU.
II. SCREENING OF POTENTIAL ENVIRONMENTAL AND SOCIAL (ES) RISKS AND IMPACTS
A. Environmental and Social Risk Classification (ESRC) Moderate
Environmental Risk Rating Moderate
All project interventions will take place on existing cultivated and non-cultivated land (land identified for
processing/value addition facilities) and catchment areas for treatment. Environmental risks and impacts that could
arise from project financed activities include minor earth/civil works undertaken for (i) spring shed treatment, (ii) crop
productivity enhancement and (iii) development/refurbishment of value chain infrastructure to support post harvest
management. The potential adverse impacts from spring shed treatment are mostly related to disturbance to soil and
vegetation in undulating terrains, soil and water pollution from disposal of excavated soil etc. In addition, the
irrigation crop production interventions are likely to trigger use of agrochemicals, especially pesticides and fertilizers
in that may result in contamination of soil and water, pose occupational health and safety risks during to storage;
handling and disposal of pesticides, food safety, and community health and safety in the surrounding areas. The
minor civil works to be undertaken for value chain infrastructure could lead to air and noise pollution during
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construction phase and collection, generation of wastes and wastewater during the operations/processing phase.
Most of these environmental risks and impacts are however temporary, site specific and largely reversible in nature
and can be managed and mitigated through appropriate mitigation measures. The project will also contribute to
improved efficiency in water usage and climate smart agriculture related interventions.
Social Risk Rating Moderate
The project is expected to have positive social impacts and benefits in Uttarakhand as it helps improve watershed
management, through catchment area treatment, land development, support to agriculture, spring shed treatment
and infrastructure to support post-harvest value chain. The farmers and agricultural workers are the main
beneficiaries under the project. Based on the initial social assessment, the following social risks and impacts have
been identified under the project: (i) potential adverse impacts on tribals and Transhumant populations (Bhotiya/
Anwal/ Van Gujjars/ Nomadic groups), (ii) risk of exclusion of women and other vulnerable groups from project
benefits, (iii) inadequate labor management practices and (iv) lack of a functional GRM at the community level. The
anticipated social risks are manageable. To mitigate these risks and to ensure strong engagement with the project
beneficiaries, the following instruments will be prepared: Environmental and Social Management Framework (ESMF),
Stakeholder Engagement Plan (SEP), Labor Management Procedures (LMP), and the Environmental and Social
Commitment Plan (ESCP), which includes the preparation of any follow-on mitigation plans agreed. Further, the
project will have a Community Operations Manual for engaging communities in implementation and prepare and
implement a comprehensive communication strategy to disseminate information in a format accessible to relevant
stakeholders, particularly to the farming community and vulnerable. The social risk of the project is Moderate,
although this will be assessed continuously throughout the life of the project and adjusted as needed.
Sexual Exploitation and Abuse/Sexual Harassment (SEA/SH) Risk Rating Low
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
The SEA/SH risk rating for the proposed project is low. In order to address residual risks, the community guidelines on
SEA/SH risk mitigation and prevention of GBV risks will be included in the Operations Manual. The SEA/SH screening
tool for major civil works in the context of India was used to assess the risks and impacts associated with the
proposed project. The project envisages small-scale construction activities pertaining to micro-watersheds, which will
likely involve local community workers, thereby reducing labor influx related SEA/SH risks. The SEP preparation will
include comprehensive consultations with local women’s groups, tribal women farmers, and young girls to ensure the
SEA/SH related risks, for especially vulnerable groups, are mitigated through appropriate measures incorporated
within the SEP instrument. The community Operations Manual will also focus on specific measures, including regular
supervision and monitoring feedback, to mitigate the risks of SEA/SH for tribal women workers and other female
construction workers from the community.
B. Environment and Social Standards (ESSs) that Apply to the Activities Being Considered
B.1. General Assessment
ESS1 Assessment and Management of Environmental and Social Risks and Impacts
Overview of the relevance of the Standard for the Operation:
ESS 1 is relevant for assessing, managing, and monitoring environmental and social risks and impacts associated with
the project towards ensuring that the operation is environmentally and socially sustainable. The adverse
environmental risks and impacts are related to minor earth works and civil works for spring shed treatment, irrigation
and crop productivity enhancement activities and infrastructure creation/refurbishment to support post-harvest
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value chain improvement. The key adverse impacts include soil and water pollution, increased use of water and
energy, disturbance to soil and vegetation in undulating terrains, disposal/reuse of excavated soil and collection,
generation of wastes and wastewater from value addition/processing activities, occupational and community health
and safety issues related to application of chemical pesticides and fertilizers.
As per initial social due diligence, the project activities are envisaged to have Moderate social risk. The adverse social
risks and impacts are related to the proposed catchment area treatment, land development, support to agriculture,
spring shed treatment and infrastructure to support post-harvest value chain improvement. These risks and impacts
are mostly related to 1) public/ private land loss for project facilities, 2) loss of access to natural resources, 3) usage of
lands under disputes (FRA, etc.), 4) impacts on tribal and Transhumant populations (Bhotiya/ Anwal/ Van Gujjars/
Nomadic groups), 5) risk of exclusion of women and other vulnerable groups from project benefits, 6) possibility of
exploitation of labour, 7) potential health and security risk to communities living in the vicinity, 8) conflicts among
people when areas are closed for grazing, 9) minor inconveniences/ nuisances during construction, 10) Limited active
participation of all vulnerable population including in design, preparation and implementation of the project; 11)
Risks of SEA-SH (Sexual exploitation and Abuse – Sexual Harassment) at the workplaces and other places covered
under the project including locations where women and children are likely to be more vulnerable;, 12) lack of Project
information to key stakeholders, 13) Lack of inclusive and accessible grievance redressal mechanism for project
workers and project beneficiaries, particularly for the vulnerable; and lastly, 14) Inadequate monitoring,
implementation and inter-departmental coordination on social management for efficient service delivery under the
project, etc. Most of these social risks and impacts are however mitigable and temporary, site specific and largely
reversible in nature and can be managed and mitigated through appropriate mitigation/ management measures.
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
To mitigate these risks and to ensure strong engagement with the project beneficiaries, the following instruments will
be prepared: Environmental and Social Management Framework (ESMF), Stakeholder Engagement Plan (SEP),
Indigenous Peoples Policy Framework (IPPF), Labour Management Procedures (LMP), and the Environmental and
Social Commitment Plan (ESCP), which includes the preparation of any follow-on mitigation plans agreed.
The ESMF will include sub-project(s) environmental and social screening procedure, guidance for preparation of site
specific ESMPs including a generic Environmental and Social Management Plan (ESMP), and subsequent
implementation plan during sub-projects’ execution, mitigation measures for resource efficiency, occupational and
community health and safety, and Integrated Pest and Management Plan (IPMP). Further, the project will prepare
and implement a comprehensive communication strategy to disseminate information in a format accessible to
relevant stakeholders, particularly to all categories of marginal and small farmers, SC/STs, transhumant and
vulnerable. The environment and social risks of the project are Moderate, although this will be assessed continuously
throughout the life of the project and adjusted as needed.
ESS10 Stakeholder Engagement and Information Disclosure
ESS10 Stakeholder Engagement and Information Disclosure ESS 10 is relevant for ensuring that a consistent,
comprehensive, coordinated and culturally appropriate approach is taken for stakeholder engagement and disclosure
of project related information. For this, a Stakeholder Engagement Plan (SEP) will be prepared and will be disclosed
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before project appraisal. The SEP will provide guidance on specific steps and actions to be taken during preparation
and implementation stages of the project. It will also define the mode and frequency of engagement with
stakeholders at various stages of the project cycle. Furthermore, the SEP will elaborate on various means and
methods which can be used to ensure that information reaches or can be accessed by farming communities and
vulnerable, main beneficiaries under the project. Given the nature of project activities proposed, diverse group of
stakeholders will be involved in the project’s decision-making, design and implementation. During initial primary
Social Assessment, stakeholder mapping and analysis was undertaken wherein the following project beneficiaries and
a number of interested parties were identified: a) marginal and small farmers; b) Landless Labourers, c) Agriculture
workers; d) agriculture and post-harvest equipment suppliers, e) Gram Panchayat Members, f) women as they are
the main workers in agriculture fields and tending to cattle, g) Transhumant, h) Watershed Management Directorate,
i) Agriculture Department, J) Animal Husbandry Department, k) Forest Department, l) Science and Technology
Department m) NGOs n) service providers such as skills development centers, o) local communities in the project
area p) consultants to be engaged by project; q) other project beneficiaries. Disadvantaged and vulnerable groups
among the project beneficiaries include those belonging to the following categories: SC/ ST/ BPL, sexual minorities
and women facing intersectional disadvantages, marginal and small farmers, landless labourers, etc. To further
manage social and environmental risks, existing Grievance Redress Mechanism (GRM) will be streamlined to make it
more responsive and accessible to all. Project beneficiaries and other interested parties (OIPs) will have access to an
easy-to-follow GRM to raise concerns and grievances. The project will update existing GRM (toll-free, online, posts,
etc.) to include features such as online and offline option to file complaint, user-centric categorization, alert
generation, response, and escalation flow. The GRM will also take up and address project-related GBV/SEA/SH
incidents with due attention to confidentiality requirements. A centralized MIS system will be setup to provide one
stop data point for collating complaints (from web, toll-free number and written) tracking the process of redressal
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
with satisfactory feedback for closure. The SEP also includes Citizens Engagement Indicators to track the
implementation of participatory approaches by the project. The implementation agencies will continue to engage
with project beneficiaries and OIPs during project implementation in a manner appropriate to the nature of their
interests and potential environmental and social risks/impacts of the project. The WMD will be overall responsible for
implementation of Stakeholder Engagement Plan including community mobilization, information, education and
communication (IEC), capacity building, among others. Appropriate arrangements for SEP implementation, including
reporting and its updating (as necessary) will be enumerated in the ESCP. Additionally, communication and
awareness raising initiatives is a central element to this project. The project will commission a Communications
Needs Assessment as the first step towards developing the comprehensive Communications Strategy for engaging
with stakeholders on an ongoing basis.
B.2. Specific Risks and Impacts
A brief description of the potential environmental and social risks and impacts relevant to the Operation.
ESS2 Labor and Working Conditions
ESS2 Labor and Working Conditions ESS 2 is considered relevant to the Project. ESS 2 is considered relevant to the
Project. The project will involve: a) direct workers employed specifically by the implementation agency for the
project; and b) contracted workers engaged in construction of works c) workers engaged by consultancy services
firms for specific deliverables and technical support to WMD. Involvement of community workers is envisaged given
nature of the project. Labor Management Procedures (LMP), including OHS risks and mitigation measures, will be
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prepared, duly including terms and conditions of employment, non-discrimination and equal opportunity, workers’
organization, the prohibition of child and forced labor, and contain a worker’s grievance mechanism in accordance
with the national laws and ESS 2 requirements. The grievance mechanism will contain stipulations for sensitive
grievances, including those related to SEA/SH. The GRM for workers will be in place prior to project effectiveness. The
relevant staff of the Implementation Agency, line departments and direct workers, including contract workers will
also be subject to and trained on codes of conduct for interacting with local communities that will be an integral part
of the LMP. All operations will be planned, designed and implemented to comply with the World Bank Group’s
Environment, Health and Safety guidelines. The ESMF and IPMP will include provisions for occupational health and
safety procedures for all workers.
ESS3 Resource Efficiency and Pollution Prevention and Management
Resource Efficiency and Pollution Prevention and Management is relevant as the project activities will consume and
impact resources including energy, water, flora and fauna as part of i) earthworks and minor civil works related to
spring shed treatment and value addition infrastructure, ii) irrigation and crop productivity improvement. The
construction activities can cause pollution of air, water and soil including noise pollution, which will have health
impacts on the humans and animals. The dust and wastes generated from construction activities and earthworks
affects surrounding crops, human and animal health. The use of non-permissible, hazardous pesticides and fertilizers
in excess doses without precautions can have adverse impacts on human, animal health and the environment.
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Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
The ESMF will focus on assessment of resource consumption and pollution from the project activities. The ESMF will
identify the risks and include measures to be taken at planning, execution and operation and management stages of
project activities for resource efficiency and pollution prevention. The design/plan of the works will emphasize on
minimal disturbance, disaster proof designs given the sensitivity of the locations that are undulating and use of
sustainable materials. Measures for dust and noise control, waste management, etc. during construction/execution
phase will be duly covered. Measures to be taken at the operation stage will also include appropriate waste disposal
methods. Use of sustainable technologies, and renewable energy will be considered feasible. The project will have an
IPMP to mitigate and manage the adverse impacts. An overall strategy for resource efficiency will be included for
better utilization of resources.
ESS4 Community Health and Safety
Community Health and Safety is considered relevant to the project. There are three type of risks; (a) risks for the
local communities due to movement of vehicles and exposure to sites associated with construction/ renovation
works, and (b) potential community exposure to agrochemicals and pesticides as the result of project activities.
The ESMF will address the risks relating to mitigation measures for construction site safety management and
appropriate barricading, and workers will be trained on these aspects of site safety management. The IPMP will
provide mitigation measures, community awareness and training on safe storage, labelling, transport and application
of agrochemicals and pesticides (where needed) to reduce any risk of exposure, or residual risks to human health and
the environment.
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ESS5 Land Acquisition, Restrictions on Land Use and Involuntary Resettlement
ESS5: Land Acquisition, Restrictions on Land Use and Involuntary Resettlement is considered relevant to the project.
The National law on Right to Fair Compensation and Transparency in Land Acquisition, Rehabilitation and
Resettlement Act, 2013 (RFCTLARR Act, 2013) and State Rules that meets the requirements of ESS5 will be applied in
addition to the ESF standard. The project activities may potentially result in land acquisition and resettlement impacts
although in a limited scale. The project footprint is currently not known and will be finalized during project
implementation. To mitigate these risks, the Borrower will undertake sub-project level impact assessment on
communities, businesses and common property, livelihood activities, and issues related to hindering access to
neighboring settlements. No land acquisition and associated risks are expected at PCN stage. A Resettlement Policy
Framework (RPF) for the project will be prepared following the national RFCTLARR Act, 2013, which will be adopted
and applied for preparation of Resettlement Action Plans (RAP) for the sub-projects (if required) after they are
identified, and their location, scope and scale of land requirement is known. The RPF will describe the different
populations that could potentially be affected, the types of losses foreseen, and the compensation that will be
offered to offset losses and restore livelihoods. The RPF will be reviewed, consulted upon, approved, and disclosed
both in the country and on the World Bank’s external portal prior to the appraisal of the project.
ESS6 Biodiversity Conservation and Sustainable Management of Living Natural Resources
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Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
Biodiversity Conservation and Sustainable Management of Living Natural Resources is considered not relevant to the
project. At this stage of the project concept note, project activities will take place in existing cultivated land. The
project's ESMF will carry out an assessment and include a screening checklist to ensure project activities do not pose
any risk/ impact / alter any critical habitat and natural habitat.
ESS7 Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities
Indigenous Peoples/ Sub-Saharan African Historically Underserved Traditional Communities is considered relevant to
the project. The comprehensive National and state laws and policies safeguarding the rights and interests of the
Indigenous people, recognized as scheduled tribes in India is fully aligned with the requirements of ESS 7. As per 2011
Census, Uttarakhand has a population of 10,086,292, with a tribal population which constitutes 2.89% of the state’s
total population. Tribes of Uttarakhand mainly comprise five major groups namely Jaunsari tribe, Tharu tribe, Raji
tribe, Buksa tribe and Bhotiyas. In terms of population Jaunsari tribe is the largest tribal group of the state. Tribes of
Uttarakhand represent the ethnic groups residing in the state. Every district of Uttarakhand has more or less a
moderate percentage of tribal population. In the state of Uttarakhand, the main concentration of tribal population is
in the rural areas. The state has Transhumant population which include the Bhotiya/ Anwal/ Van Gujjars/ Nomadic
groups. Considering this, the Borrower will prepare an Indigenous Peoples Development Framework (IPDF) to ensure
that the project enhances opportunities for vulnerable beneficiaries to participate in, and benefit from the
development process. WMD will adopt and implement this IPPF for all project activities.
ESS8 Cultural Heritage
Public Disclosure
Cultural Heritage is considered not relevant to the project. At this stage of the project concept note, project activities
will take place in existing cultivated land. The project's ESMF will carry out an assessment and include a screening
checklist to ensure project activities do not post any risk/ impact / alter any cultural or natural heritage sites.
ESS9 Financial Intermediaries
Financial Intermediaries is not relevant.
C. Legal Operational Policies that Apply
OP 7.50 Operations on International Waterways No
OP 7.60 Operations in Disputed Areas No
III. WORLD BANK ENVIRONMENTAL AND SOCIAL DUE DILIGENCE
A. Is a common approach being considered? No
Financing Partners
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Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
Common Approach is not applicable to the project
B. Proposed Measures, Actions and Timing (Borrower’s commitments)
Actions to be completed prior to Bank Board Approval:
Before appraisal, the following instruments need to be developed, consulted on, and disclosed:
Environment and Social Management Framework (including IPMP)
Stakeholder Engagement Plan
Indigenous Peoples Policy Framework
Labor Management Procedures
Possible issues to be addressed in the Borrower Environmental and Social Commitment Plan (ESCP):
Capacity-building on the ESF, LMP and IPMP
Site/sub-project specific ESMPs preparation and implementation where required
Establish and ensure good human resource capacity on ESF throughout the implementation period
Establish capacity to plan and implement ESMPs
C. Timing
Tentative target date for preparing the Appraisal Stage ESRS 23-May-2023
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IV. CONTACT POINTS
World Bank
Contact: Ranjan Samantaray Title: Sr Agricultural Spec.
Telephone No: 5785+47699 / 91-11-4924-7699 Email: rsamantaray@worldbank.org
Borrower/Client/Recipient
Borrower: Department of Economic Affairs
Contact: Mr. Rajesh Kumar Title: Deputy Secretary
Telephone No: 911123095141 Email: rajesh.kr64@nic.in
Implementing Agency(ies)
Implementing
Watershed Management Directorate
Agency:
Contact: Anand Bardhan Title: Additional Chief Secretary
and Chief Project Director
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The World Bank
Uttarakhand Climate Responsive Rainfed Farming Project (P179357)
Telephone No: 0135-2768712 Email: wmd-ua@nic.in
V. FOR MORE INFORMATION CONTACT
The World Bank
1818 H Street, NW
Washington, D.C. 20433
Telephone: (202) 473-1000
Web: http://www.worldbank.org/projects
VI. APPROVAL
Task Team Leader(s): Ranjan Samantaray
Practice Manager (ENR/Social) Kevin A Tomlinson Recommended on 02-Mar-2023 at 01:28:54 EST
Public Disclosure
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