appendix c_process flow diagram (1)
DESCRIPTION
process flow diagramTRANSCRIPT
C-1
APPENDIX C
PROCESS FLOW DIAGRAM
The process flow for executive and technical functions depicts the broad level interactions between themselves. This has been prepared with the understanding that the interfaces of various functional areas will aid in the development of MIS application system for UPID.
Aud
it re
late
d qu
estio
ns
Ass
et re
late
d qu
estio
ns
Human ResourceManagement
Payroll Accounting
Financial Accounting
Process Flow for Executive Functions
Paybill preparation,Pay summary report,Salary generation,Contingent chargesetc.
Stores Accounting
Contracts Management
Revenue
Procurement and TenderManagement
Audit and Draft ParaManagement
Employee informationPay revisionLoan and advancesTransfer/deputationGPFGISIncome taxLeave etc.
Budget
Monitoring andEvaluation
Budget estimateBudget allocation
Bud
get e
stim
ate
Bud
get a
lloca
tion
Assembly and ParliamentQuestion
Litigation Management
Fina
ncia
l aud
it
Asset Management
Budget estimateBudget allocation
Asset generates revenue
Cases relatedto contractors
Fina
ncia
l tra
nsac
tions
Stor
e tra
nsac
tions
Con
tract
or se
curit
y
Sate
of t
ende
r for
ms
etc.
Mai
nten
ance
of r
even
ue h
ead
Mai
nten
ance
of v
alue
and
qua
ntity
acc
ount
For w
ork
exec
utio
n
Proc
urem
ent
Dis
cipl
inar
y ac
tion
Audit of stock andtools and plants
Esta
blis
hmen
t rel
ated
que
stio
ns
Cas
es fi
led
by U
PID
em
ploy
ees
and
com
plai
nt se
ctio
n
Funds related questions
Fina
nce
rela
ted
ques
tions
Land
acq
uisi
tion
Procurement related questions
Con
tract
or re
late
dqu
estio
ns
Revenue details
Stor
es m
anag
emen
t
Mon
itorin
gof
fund
s ut
ilise
d
Monitoring of employees' postretirement benefits, Casesrelated to complaints andgrievances etc.
Informationon assetsand issuingdirective
Monitoring of financial progress of projects
Monitoring Revenue Records
Mon
itorin
gof
sto
res
Monitoringcourt cases
UPID MIS Study Version 1.0 Process Flow Diagram
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DPR
, App
rova
ls,
Oth
er P
roje
ct re
late
ddo
cum
ents
, Inp
uts
from
con
stru
ctio
npr
ojec
t etc
Construction of Projects
Irrigation WaterManagement
Drainage Improvementand Maintenance
Flood Control andManagement
Investigation andPlanning
Design of Works
Mechanical Works Dam Safety Monitoring
Research Activities
Process Flow for Technical Functions
App
rove
d D
PR, F
ield
info
rmat
ion
and
Dat
a
Design Records andDrawings
Model studies,Investigation data
Sanctioned Proposals, data etc
Proposal for structuralmeasures, data etc
Perio
dica
l ins
pect
ion
repo
rts, R
emed
ial
mea
sure
s
Management of excess irrigation waterIr
rigat
ion
tube
wel
ls/li
ft ca
nals
Regulation of water through dams,barrages
Stan
dard
ize
desi
gn, d
esig
n re
cord
s Res
earc
h da
ta
Monitoring andEvaluation
Rep
orts
on
min
orirr
igat
ion
proj
ects
Phys
ical
and
Fina
ncia
l pro
gres
sre
ports
of p
roje
cts
Rep
orts
conc
erni
ngm
ajor
and
med
ium
proj
ects
Report on irrigation, revenuerealisation and cropping pattern
Rep
orts
con
cern
ing
flood
pro
ject
s
UPID MIS Study Version 1.0 Process Flow Diagram
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Cash Book
Divisional Officer
AG UP
Cash Outlay
StoresAccount
Adjustment a/cTransfer Entry Value
Account
QuantityAccount
Preparation ofMonthlyAccounts
SubsidiaryRegister
Imprest
Works
Contractor
15 digit code issued byMinistry of Finance
Accounts
Head ofAccounts
PermanentImprest
TemporaryImprest
Budget
E-in-C
Financial Accounting
Preparation ofFinal Accounts
Preparation of variousreports
BudgetInformation
Issues Cheque(Grant 94)
Sends reports
Send
s re
ports
Info
rmat
ion
and
Fund
flo
w
Treasury
Issues Cheque(Grant 93)
Monitors
Referred by
Monitors
Referred by
Receipts and PaymentsInformation
Imprest TransactionInformation
Preparation of reports
Det
ails
Information for preparation of Monthly Account
Info
rmat
ion
of V
alue
Acc
ount
and
Qua
ntity
Acc
ount
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Internal Audit is performed of identifiedcategory
Objections are presented to theconcerned divisional/controlling officer in the
form of Rough Notes. Reply is sought fromconcerned officer
Raises Objections
The explanations given by divisional/controlling officer are discussed by audit
team
Audit team submits the details of Auditobjections to Finance Controller in Internal
Audit Report
Compliance with audit objections by theconcerned officer is ensured
The important objections are brought to thenotice of the E-in-C and the Government
through quarterly reports
Audit and Draft Para ManagementInternal Audit
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Raises Objections.
Objections aredisposed off
Objections requiringattention like serious
objections or objectionsholding insufficient repliesfrom the department are
basis for PAC Para
Unsatisfactory explanation to Objection
Satisfactory explanation to Objection
Audit and Draft Para ManagementExternal Audit
Unsatisfactory explanation to Objection
Objections aredisposed off
Satisfactory explanation to Objection
Objections are presented to the concerned officer of UPID in theform of Rough Notes. Concerned officer has to submit answer
within the stipulated time
External Audit is performed of identified categories
The explanations given by concerned officer on rough notes arediscussed by audit team. Office copy is retained by the concerned
officer
Audit team submits the details of Audit objections alongwithoriginal copy of rough notes to Auditor General, Allahabad and on
that basis Audit Inspection Report (AIR) is prepared by AGUP
AIR is submitted to the concerned authority of UPID
Concerned officer prepares the replies in reference with thecompliance and submits the same to competent authority for
comments
The replies are verified and comments, if any, are sent back forclosure. After verification of closure of comments, replies are
sent to AGUP
AGUP evaluates the replies
Draft Para Cell of AGUP prepares the Draft Para Report
Draft Para is submitted to Head of department by AGUP for furthercompliance
Preparation of PAC para
E-in-C provides compliance for all issues of PAC para to PublicAccounts Committee (PAC)
CAG para is prepared statewise from important paras of PAC
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Measurements are recorded inMeasurement Book (MB)
JE prepares the bill and submits to AEfor verification.
EE verifies the measurement and work inMB and if satisfied authorises payment by
making payment order
Bill goes to cashier of division office forpayment and entry in relevant records
such as Cash Book, Agreement/Contractor Ledger/MB etc.
Contracts Management
Contractors are assigned work after thetendering process and the bond is signed
Payments made by cheque in the form ofRunning Bills or Final Bills as the case
may be
AE verifies the measurement and work inMB, approves and submits to EE for
payment
Registration of contractors
Payment
Bill/ Measurement Book
Bill/ Measurement Book
Bill
Blacklisting/ Removal of Contractors doneas per criteria outlined, if required.
Register of blacklisted contractorsupdated
List of contractors to be blacklisted /removed
Bill goes to divisional accountant for pre-audit and payment
Bill
The running payment is made by AE afterverifying the work and measurement inMB, in case, the amount of cheque to be
issued to an individual contractor islimited to Rs. 5000/-
For Maintenance Divisions (Amount <Rs.5000/-)
In such cases, the account is post auditedby the divisional accountant in the
divisional office
Renewal of registration before expiry ofthe stipulated period, otherwise, re-
registration is done
Contractor Register
Detailed agreement signed and workassigned
Updated Measurement Book
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Updating of sanctionedmanpower
Estimation of additional manpowerrequirement at various units
Assimilation of requirementsat circle, zone and
E-in-C office
Finalisation of additionalmanpower requirement by
competent authority
Order to revisesanctionedmanpower
Revision of sanctionedmanpower
Estimation of vacancies atdifferent units
Decision on re-allocation /promotion or fresh
recruitment
Completion of procedure for directrecruitment of candidates
Appointment/ posting lettersto shortlisted candidates after
police verification
Verification of certificatesand personal details ofcandidates at place of
posting
Creation of personal filefor fresh recruits
List of shortlistedcandidates
Personal detailsand certificates
verified
For employees <sanctionedmanpower
Manpowerestimates
Finalisedrequirements
Number ofvacancies
Human Resource ManagementManpower Allocation and Recruitment
For fresh recruitmentof employees for
posts under purviewof UPPSC
and posts out ofpurview of
UPPSC
UPID MIS Study Version 1.0 Process Flow Diagram
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Receivingcomplaints
Preliminary enquiryon complaints
Departmentalproceedings
Preparation ofcharge sheets and
appointment ofenquiry officer
Vigilance enquiry
Legal proceedingsin competent court
Action and closureof complaint file
Complaint details
For complaints related tocorruption or violation ofgovernment financial and
administrative rules
First opportunity tonamed employeefor explanation
Sanction of prosecutionby appointing authority
Courtorders
Before start of disciplinaryproceedings
Satisfactoryexplanation
by employee
Human Resource ManagementComplaints Management
Start of legal action
Second opportunityfrom enquiry officer
to employee forexplanation
Report fromenquiry officer toappointing officer
Issuing of 'ShowCause Notice' to
employee byappointing officer
Unsatisfactoryexplanation by
employee
ChargeSheet
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In case of protestby aggrieved
Receiving grievance
Maintaining details ofgrievance in a register
Communicating withconcerned offices for
further actions
Taking action for redressal ofgrievance and submission
of report to grievanceregistration office
Taking action for redressalof grievance
Grievance details
Action and closure ofgrievance file
Grievance details
If aggrieved isnot satisfied by
the action
Receiving notice fromaggrieved
If no protestby aggrieved
Court orders
Human Resource ManagementGrievance Management
Legal proceedings incompetent court
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Establishment
Payroll
Finance
Pay Bill
Pay SummaryReport
Pay Slip
Drawing andDisbursing Officer
EmployeeInformation
Treasury
Salary
Pension
Pay Revision
Employee ArrearDetails
Loan andAdvances
Group Insurance andSaving Scheme
Income Tax
Bills for OtherRecoveries
Bills for OtherAllowances
Sub HeadwiseBudget Register
Payroll Accounting
GPF Passbook
Acquittance Roll
Annual IncrementInformation
Cal
cula
tes Sends to
Sends to Prepares check
Disburses
Com
pute
s
Prep
ares
Prep
aresPr
oces
ses
Info
rmat
ion
and
Fund
Fl
ow
Mai
ntai
ns
Mai
ntai
ns
Mai
ntai
nsan
d M
onito
rs
Info
rmat
ion
Flow
Schedule of GPFDeduction
Last Pay Certificate
Advance Details
Income Tax Returns
Schedule of GISDeduction
Schedule of IncomeTax Deduction
Annual SalaryStatement
Info
rmat
ion
Flow
Prep
ares
Gen
erat
es
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Litigation Management
Filing petition inconcerned court
Narration directive
Grant of sanction
Narrative preparation
Narrative processing
Filing objections
Case proceedings andcompliance with
orders
Copies to concernedparties
Delay condon
In case delay insanction
Verification with GO/directives by
establishment section
Administrativeapproval
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Divisional officer ensures proper arrangements are made forcustody of stores and protection from deterioration and fire
Maintenance of Stores
Investigation of storeObtain the sanction of competent
authority for their write-off
Divisional officer reports toStores purchase officer for
surplus stores
Unserviceable
Serviceable Surplus Store
Stores Accounting
Notification
StockTools and
Plant
Stores purchase supplementto the UP gazette for sale or
transfer to other department
Survey reports of surplus store
Disposed off as per rules
Suppliers
Manufacture
DGS&D
Receipts
Other sub-divisions,divisions or departments
CESPO
DOI
On Transfer
Purchase
Purchase
Purchase
Purchase
Purchase
Issue
For use on works either by issue tocontractors or issue direct to works
For issue to employees (In case oftools and plants only)
For despatch to other sub-divisions,divisions, of department
Issued for
Issued for
Issued for
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Revenue
Preparation of jamabandi statement Submission of jamabandi to collectorfor revenue collection
Submission of monthly statement of revenuerealisation received in division
to AGUP
Conduction of detailed assessment ofirrigation revenue
Bringing collections made by UPID intotreasuries to the credit of concerned
revenue heads
Collection of tauzi statement fromcollector for irrigation revenue realised
UPID MIS Study Version 1.0 Process Flow Diagram
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Budgeting
Budget estimates atdifferent levels of
department
Consolidated budgetestimates to Government
Budget sanctioned byGovernment
Disbursement of funds todivisions for Grant93
Send monthlyexpenditure report to
AGUP
Release CCL for budgetsanctioned
Surrender unutilizedbudget
Disbursement of fundsthrough C.E. to circlesand then to division for
Grant94
Processing at E-in-Coffice
Demand for CCL atdivision level
Demandfor CCL
Con
solid
ated
dem
and
for
CC
L
UPID MIS Study Version 1.0 Process Flow Diagram
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Indents registered by CESPO
Technical scrutiny of indents done by AEof CESPO
Indented items checked on DGS&D ratecontract
Invitation of tenders done for indenteditems as per the financial powers of the
competent authorities
Procurement and Tender Management (Equipments)
Items purchased at field level by directpurchases or local tendering if withinfinancial powers of AE, EE and SE.
Otherwise, indents forwarded to CESPOafter due scrutiny and approvals
Tenders received in sealed envelopes andopened in due time as per the financial
powers of the competent authorities
Indented items checked on DOI ratecontract
Data of indents compiled for state of UP
Part (a) of the tender is evaluated bycompetent authorities
Scrutinised indents
Indent Plan
If does not exist
Evaluation report
Order
Demands for procurement raised fromfield offices
Indents
Procured items/ indents to CESPO
Registered indents
Rate Contracts for the indented itemsare evaluated
If exists
Selection of Vendor done and orderplaced
If exists
If does not exist
Tender Document
Opened Tenders
Material dispatched to consignee onlyafter pre-dispatch inspection is done by
independent third party agency
Progress of supplies monitoredregularly and due performance report
taken from consignee
Materialdispatched
Contd. 1
UPID MIS Study Version 1.0 Process Flow Diagram
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Part (b) of the tender is evaluated bycompetent authorities
If satisfactory
Part (c) of the tender is evaluated bycompetent authorities
If satisfactory
Selection of bidder done by competentauthorities based on the evaluation of
parts a, b and c of the tender
Acceptance Letter is placed on the selectedvendor and agreement is signed
For Equipment/Materials
Evaluation Report
Material dispatched to consignee onlyafter pre-dispatch inspection is done by
independent third party agency
Progress of supplies monitored regularlyand due performance report taken from
consignee
Order
Materialdispatched
Contd. 1
UPID MIS Study Version 1.0 Process Flow Diagram
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Procurement and Tender Management (Works)
Tenders are published normally through Directorate ofInformation in the most open and public manner for tenders
exceeding RS. 2.0 lacs
Tenders received in sealed envelopes and opened in specifiedplace and time as mentioned in the tender document as per the
administrative order issued by E-in-C, UPID
Part (a) of the tender is evaluated by competent authorities inspecialised type of works such as tunnelling, barrage etc.,
usually costing more than Rs. 1.0 crore
Demands for procurement raised from field offices
Tender Document
Part (b) of the tender is evaluated by competent authorities inspecialised type of works such as tunnelling, barrage etc.,
usually costing more than Rs. 1.0 crore
If satisfactory
Part (c) of the tender is evaluated by competent authorities
If satisfactory
Selection of bidder done by competent authorities based on theevaluation of parts a, b and c of the tender in the presence of the
tenderers or their authorised representatives
Letter of Acceptance is placed on the selected bidder, securitydeposit is sought and other terms and conditions mentioned
there in
Detailed agreement signed normally on ID Forms 111 and 112
If accepted bybidder
Evaluation Report
Opened Tenders
Indents
UPID MIS Study Version 1.0 Process Flow Diagram
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Procurement and Tender Management (Consulting Services)
Preparation of the cost estimate to determine the budget of theassignment
Advertising to invite expressions of interest from consultants
Short listing to identify consultants qualified for the assignment
Preparation of the TOR of the assignment
Preparation and issuance of RFP
Submission of proposals by the consultants
RFP document
Evaluation of proposals submitted by consultants
Proposals
TOR
Evaluation Report
Negotiations and signing of the contract with the consultants
UPID MIS Study Version 1.0 Process Flow Diagram
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Assembly and Parliament Questions and their Reply Management
Questions
Questions received and recorded byassembly cell and chief engineers
Nodal officers / concerned CE's
Unstarred
Replies
Starred/Short Term Starred Replies to secretariat and a copy toassembly cell (E-in-C office)
Replies
Minister replies in the house
Replies sent from secretariat to concernedMP/MLA/MLC
Question answered satisfactorily ortransformed into assurance, in case the
problem is due to lack of physicalcommodity or funds
Questions/reminders
Nodal officers/concerned CE's intimatedabout assurances
Briefing to honourable minister by nodalofficers/concerned CE's
Replies
UPID MIS Study Version 1.0 Process Flow Diagram
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Assembly and Parliament Questions and their Reply Management
Rules
Urgent matters of public importancereceived and recorded by assembly cell
and chief engineers
Nodal officers / concerned CE's
Replies to concerned authorities with acopy to assembly cell (E-in-C office)
Minister replies in the house on the statusof the matter
Final answer sent to concerned authorities
Urgent Matters of Public Importance
Notes
If concerned honourable member notsatisfied
UPID MIS Study Version 1.0 Process Flow Diagram
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Assembly and Parliament Questions and their Reply Management
Co-ordination with Assurance Committee
Detailed information of assurancesreceived and recorded by assembly cell
and chief engineers
Files of assurances maintained at assemblycell
Information about review meeting ofassurances received and recorded by
assembly cell
Present status sent to concerned secretarywith a copy to assembly cell
Assurances
Discussions with assurance committee andstatus of assurance updated
Concerned CEs/Nodal Officers
Information about Review Meeting
Present status of assurance
UPID MIS Study Version 1.0 Process Flow Diagram
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Note: The procedure is same for UP Vidhan Sabha Estimate Committee, Late Matters ( Vilamb )Committee, Question and Reference (Sandarbh) Committee and Petition Committee.
Assembly and Parliament Questions and their Reply Management
Coordination with other Committees
Questionnaires received by assembly cell
Nodal officers / concerned CE's
Filled-up questionnaire to concernedsecretary with a copy to assembly cell (E-
in-C office)
Approval of compiled information byPrincipal Secretary
Questionnaires
Compiled information sent to members ofconcerned committee
Information compiled by concernedsecretary
Filled-up questionnaires
Compiled Information
UPID MIS Study Version 1.0 Process Flow Diagram
C-23
Irrigation and Water Management
Operation and Maintenance of Head-works for Dams, Barrages and Reservoirs
Regulation orders for regulation/operational staff of head work
Operation of head works to regulate flow of water in canals andrivers
Maintenance of head works as per standard norms andmaintenance manuals
Assessment of volume of water available in dams, barrages andreservoirs
Regulation orders
Records of operation of gates at head works
UPID MIS Study Version 1.0 Process Flow Diagram
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Operation and Running of Canal System (River Diversion Schemes)
Estimation of wateravailability on 10-daily basis
after consulting historicaldischarge records
Finalisation of requirementsafter interaction with
District administration andagricultural department
Preparation of roster forrunning and closure-branch
wise
Water availability
Operation of canal systemsaccording to the roster
(Involves management inputto cater for the actual
availability i.e. shortage/surplus)
WaterRequirements
Roster
Irrigation and Water Management
UPID MIS Study Version 1.0 Process Flow Diagram
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Assess requirementsof water for canal
operation
Issue standingorders
Regulation of waterthrough head
regulators presentat the dams
Opening/Closing ofsluice gates and
release of water incanals
Regulation of waterfor irrigation and
other uses
Maintaining records
Assess volume ofwater in reservoirs
Irrigation and Water ManagementOperation of Storage Reservoir based Canals
UPID MIS Study Version 1.0 Process Flow Diagram
C-26
Approval of the repair jobs
Preparation and submission of proposals andestimates for repairs and silt clearance
Adminstrative approvalFinancial approvalTechnical approval
Proposal
Reports and records
Normal maintenace such as maintenance ofoutlets, service roads and banks,
maintenance and upkeep of civil structuresand silt clearnace
Special repairs such as replacing andrenovating major and minor systems
Field inspection of existing systems
Maintenance work of canal systems
Construction and maintenance records,along with estimates
Irrigation and Water ManagementMaintenance of Canal Systems
UPID MIS Study Version 1.0 Process Flow Diagram
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Completion of finalmeasurements
Recording in Khasra -shudkar
Recording of Irrigation Areas and Revenue Collection
Preparation ofjamabandi
Distribution of parchasto all cultivators
Preparation of parchas
Khasra-shudkar Abpashi
Parchas
Jamabandi
Submission ofassessmentstatement
Verification ofjamabandi at
Divisional Office
Sending compiledreports to concerned
authorities
ComplaintsRegister
Irrigation and Water Management
Payment of bills bycultivators
Lodging of complaintsby cultivators
Objections
No objections
Disposal of complaints
UPID MIS Study Version 1.0 Process Flow Diagram
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Maintenance work fordrainage systems
Normal maintenance such asmaintenance and upkeep of pucca
works, earthen works and restorationof drains
Special Maintenance such asrehabilitation of existing systems
Drainage Improvement and Maintenance
Preparation and submissionof proposals along with
estimates
Technical approvalAdminstrative approval
Financial approval
Grant of approvals
Inspection of existingsystems
Inspection reports and records
Proposal
Construction andmaintenance records
Implementation of drainageprojects
UPID MIS Study Version 1.0 Process Flow Diagram
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Flood Control and Management
Receiving information offlood forecasts from
CWC
Adopting structural andnon-structural measures to
prevent floods
Administrative approvalTechnical approvalFinancial approval
Flood forecasts
Approval of proposals andsanction of estimates
Preparation and submissionof proposals and estimates
Identification of flood proneareas
Proposals and estimates
Inspection reports and records
Timely inspection andmaintenance of existing
works
Construction of floodcontrol or protective
works
UPID MIS Study Version 1.0 Process Flow Diagram
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Comments
1 2
CE (AP) office scrutnizes and vets feasibilityReport and sends it to CWC for technical
sanction through State Government
Preparation of Project feasibility report byField Chief Engineers
Investigation and PlanningSanction of new Major/Medium Irrigation Project
Preparation of DPR by field Chief Engineers
Checking of DPR in E-in-C office forforwarding to UP Govt.
UP Govt. forwards the DPR to CWC, GOIfor technical sanction
Preliminary examination in the ProjectAppraisal Directorate and circulation to
appraisal agencies
Examination in the various specialisedDirectorates of CWC, Ministry of Water
Resources and Ministry of Agriculture andtransmission of first set of comments to state
Forwarding report to the Ministry ofEnvironment & Forests
CWC grants technical sanction onfeasibility report
Contd.
Feasibility reportComments
Technical sanction on feasibilityreport
DPR
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Investigation and PlanningSanction of new Major/Medium Irrigation Project
(Contd.)
Examination of state replies and transmission ofsecond set of comments to the state
Submission of the state's final replies tosecond set of comments to CWC
Examination of state's final replies anddiscussion with Project Engineers for
finalisation in CWC
Preparation of note by Project AppraisalDirectorate for the Advisory committee
Technical sanction by CWC, GOI
Submitted to UP Govt. for EFC for FinancialApproval
Submitted to Planning Commission, GOI forinvestment clearance
Project starts after investmentclearance from Planning Commission
GOI
Submission of the state's replies to commentsraised by the Appraisal Agencies
Clearance to be obtained from Ministryof Environment and Forests by the State
Govt. and communicated to CWC
1 2
Technical approval forDPR
Financial approvaland approved DPR
Clearance
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Submission of scheme by concerned CE toE-in-C, UPID for investigation by I&P
with relevant information
Presentation of scheme in ChiefEngineers' Committee for Technical
approval/clearance
Investigation and PlanningFlood related Works
Examination of scheme against variousstandard document by I&P division for
flood control
Preparation of feasibility report byconcerned SE and CE and submission to
E-in-C, UPIDScheme
Scheme
Feasibility report
Comments
Technical approvalby Chief Engineers'
Committee
Presentation of scheme in TAC of Stateflood control board for Technical
approval/clearance
Technical clearance from CEs'Committee
Technical approvalby TAC of StateFlood Control
Board
Presentation of scheme in GFCC, Patnafor Technical approval/clearance
Technical approvalby GFCC, Patna
Technical clearance from TAC ofState Flood Control Board
contd.
For scheme costing more than 2 crores
For schemes costing less than Rs 60 Lacs andcovered under identified category
For schemes costing upto Rs 60 Lacs andother than identified category
For schemes costing more than Rs60 Lacs and upto Rs 2 crores
Technical clearance from GFCC,Patna
Presentation of scheme in TAC ofPlanning Commission, GOI for schemes
costing more than Rs. 2 crores
Technical approval from TAC of Planningcommission, GOI
Technical approval from differentcommittees / board
UPID MIS Study Version 1.0 Process Flow Diagram
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Investigation and PlanningFlood related Works
(contd.)
Administrativeapproval by SE
Administrativeapproval by CE
Administrativeapproval by
StateGovernment
Administrative approval
Financial approval for the scheme byGovernment
Technical approval from State FloodControl Board
For Schemesupto Rs 30 Lacs
For Schemes above Rs30 Lacs and upto Rs 50Lacs
For Schemes above Rs50 Lacs
Sanction of scheme by steering committeeof State Flood Control Board
Clearance by CWC / Ministry ofIrrigation and Power
For schemes having inter-state /inter-national implications
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Constitution of Working Group headed byPrincipal Secretary (Irrigation), GoUP
Constitution of Sub Working Groupsheaded by Secretary (Irrigation) to
finalize five year plan/yearly plans fordifferent sub-sectors
Preparation of proposals by offices ofconcerned CEs and submission to E-in-C
office
On recommendations from WorkingGroup, Draft Plan is sent to Planning
Department, GoUP
Discussions and Clearance by Steeringand Coordination Committee on draft
plan
Investigation and PlanningFive-Year Plan & Yearly Plans
Constitution of Steering and CoordinationCommittee headed by Chief Secretary,
GoUP
Estimation of sector-wise outlay for fiveyear plan and yearly plans by Planning
Department, GoUP
Presentation/discussion on proposal by E-in-C with working group
Contd.
Proposal
Recommendations from working group
Draft Plan
UPID MIS Study Version 1.0 Process Flow Diagram
C-35
Composition of draft five year plan andyearly plans by UPID according to
estimated outlay
Discussions by Working Groupconstituted by Planning Commission,GOI on Draft Plans sent by Planning
department, GoUP
On recommendations from Workinggroup of Planning Commission, GOI, re-
estimation of sector-wise outlay byPlanning department, GoUP
Work on composition of correspondingyearly plan based upon re-estimatedsector-wise outlay by E-in-C office
Investigation and PlanningFive-Year Plan & Yearly Plans
(Contd.)
Finalization of outlay for Five Year Planand Yearly Plans of State by Planning
Commission, GOI
Final Proposal of Yearly Plan sent toPlanning Department, GoUP
Estimated sector-wise outlay
Draft five year plan and yearly plan
Finalized outlay and five year plan
Re-estimated sector-wise outlay
Final yearly plans
UPID MIS Study Version 1.0 Process Flow Diagram
C-36
Allocation of design work for the projectto unit (comprised of EE and AEs)
Initial study of various documents andsimilar archived designs by unit
Field engineers do review and performmodel studies(if required)
Preparation of detailed design for eachcomponent present in approved GAD
Design of Works
Planning of design work jointly byCE(Design) and CE(Construction) as per
project schedule
Approval of design
Preparation of initial design, design noteand GAD and submission for approval
Engineering surveys and investigation byfield engineers for collection of requesteddata. If required, services are hired from
external agencies as well
Start of construction work by Fieldengineers. For any deviation from
approved design during construction,CDDID is consulted
Requests for field information and dataas per checklists
Requested information and data
Approved GADComments
Final GAD
Design records for approval
Design recordsRe-designed records forapproval
Financial & administrative approval forproject
DPR
UPID MIS Study Version 1.0 Process Flow Diagram
C-37
Signing of contract withPanchayati Raj
Receiving and utilisinggrants for repair and
maintenance of mechanicaland distribution system
Rectifying mechanicalfaults
Receiving complaints aboutclosure and defects of
tubewells
Reporting faults to UPPCLApproval for reconstructionof tubewells
Following up with UPPCLfor rectification
Ensuring availability offunds for reconstruction
For reconstructionof failed tubewells
Mechanicalfaults
Electricalfaults
Reconstructing tubewells
Mechanical maintenance oftubewells
Mechanical WorksTubewell Irrigation
SignedContract
Approval fromcompetentauthority
Availability offunds
UPID MIS Study Version 1.0 Process Flow Diagram
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Demand Letter (indent)for Components from
Tubewell Division
Availability of Moneyfrom Tubewell Division
QualityControl
Central Storeof workshop
Transfer totubewelldivision
Purchase raw materialand receive burnt copper
wires from tubewelldivision
Foundry Shop Machine ShopBlacksmith
Shop
FabricationShopFitting Shop
Workshop
Mechanical WorksIrrigation Workshop Circle, Lucknow
UPID MIS Study Version 1.0 Process Flow Diagram
C-39
Receiving demand letters formaintenance of hydro-mechanical equipments
Sending proposal on typesof gates to concerned civil
division and obtainingapproval
Sending of drawings toIrrigation workshop
Sending of information onproposed manufacturing
expenditure to concerned civildivision from workshops
Manufacturing of variousparts in different sections
of workshops
Sending manufactured partsto sites
Obtaining materials to beused in erection work through
procurement organisationErection work
Approval fromconcerned civil division
If funds are availablewith civil division
Manufacturedparts
Mechanical WorksIrrigation Workshop Circle, Kanpur
Identifying damagedcomponents for replacement
and maintenance
Obtaining materials andmachinery for maintenance,
through procurementorganisation
Repairing of regulator gatesof barrages, dams andcanals, as per schedule
Obtaining approval from civildivision for closure,
if required
Mechanical maintenance of barrages
Handing over the workto civil division
UPID MIS Study Version 1.0 Process Flow Diagram
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Preparation of pre-monsoon and post-monsoon inspection report for each dam
by field engineers
Preparation of consolidated Health StatusReport by Dam Safety Cell based upon
periodical inspection reports
Inspection of dams by officers of DamSafety Cell to identify distressed dams
Dam Safety Review Panel/Dam SafetyReview Committee
Dam Safety Monitoring
Preparationof Dam Data
Book
Preparation of Health Status Report andannual consolidated report by Dam Safety
Cell
Health Status Report
Periodical inspection reportsalong with checklists
Maintenanceof project
completionreport
Maintenanceof operation
&maintenancemanual for
dam
Inspection reports
Health Status Reports ofdistressed dams
Furtherinspection
Investigation/Study
Remedialmeasure
Recommends
CWC performs review ofHealth Status Reports
Consolidated health statusreport
These documents are referred at variousstages during monitoring of Dam safety
Documentation
Requests forRequests for Reports Data
UPID MIS Study Version 1.0 Process Flow Diagram
C-41
Monitoring and Evaluation
Reports from divisions
Reports from circles
Sending reports in prescribedformats from division
Consolidation of reports fromdivisions at circles and sending
to zones
Consolidation of reports fromcircles at zones and sending to
E-in-C office
E-in-C Office: recieve reports,organise meetings and monitor
and evaluate progress
Reports from zones
Other functional areas such asBudgeting, Stores, Financial
Accounting etc.Reports
E-in-C Office: resolvebottlenecks and issue directives
for follow-up action
Sending selected reports tostate goverment and state
planning institution