appendix c_process flow diagram (1)

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

C-2

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


C-3

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


C-4

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


C-5

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


C-6

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


C-7

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


C-8

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


C-9

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


C-10

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


C-11

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


C-12

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


C-13

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


C-14

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


C-15

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


C-16

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


C-17

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


C-18

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


C-19

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


C-20


Rules

Urgent matters of public importancereceived and recorded by assembly cell

and chief engineers


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


C-21


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


C-22

Note: The procedure is same for UP Vidhan Sabha Estimate Committee, Late Matters ( Vilamb )Committee, Question and Reference (Sandarbh) Committee and Petition Committee.


Coordination with other Committees

Questionnaires received by assembly cell


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


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


C-24

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



C-25

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


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


C-27

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


Payment of bills bycultivators

Lodging of complaintsby cultivators

Objections

No objections

Disposal of complaints


C-28

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


C-29

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


C-30

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


C-31

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


C-32

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


C-33

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


C-34

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


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


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


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


C-38

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


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


C-40

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


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

appendix c_process flow diagram (1)

Documents