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A PPENDIX 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.
Process Flow for Executive Functions

Revenue details

Budget

Revenue

Monitoring Revenue Records

Budget estimate
Budget allocation
Monitoring of financial progress of projects

Monitoring of employees' post


retirement benefits, Cases
related to complaints and
grievances etc.

Financial Accounting

Paybill preparation,
Pay summary report,
Salary generation,
Contingent charges
etc.

Payroll Accounting

Financial audit

Disciplinary action
Finance related questions

Stores management

Employee information
Pay revision
Loan and advances
Transfer/deputation
GPF
GIS
Income tax
Leave etc.

Budget estimate
Budget allocation

Cases filed by UPID employees and


complaint section

Audit and Draft Para


Management
Audit of stock and
tools and plants

Assembly and Parliament


Question

Store transactions

Cases related
to contractors

Procurement related questions

For work execution

Contracts Management
Audit related questions

Litigation Management

Procurement

Stores Accounting

Contractor related
questions

Land acquisition

Establishment related questions

Human Resource
Management

Sate of tender forms etc.

Monitoring
of stores

Monitoring and
Evaluation

Maintenance of value and quantity account

Monitoring
court cases

Contractor security

Information
on assets
and issuing
directive

Asset generates revenue

Monitoring
of funds utilised

Asset related questions

Asset Management

Maintenance of revenue head

Budget estimate
Budget allocation

Financial transactions

Funds related questions

Procurement and Tender


Management

C-1

UPID MIS Study

Version 1.0

Process Flow Diagram

Process Flow for Technical Functions

Irrigation Water
Management

Management of excess irrigation water

Drainage Improvement
and Maintenance
Regulation of water through dams,barrages

Report on irrigation, revenue


realisation and cropping pattern

DPR, Approvals,
Other Project related
documents, Inputs
from construction
project etc

Construction of Projects

Design Records and


Drawings
Standardize design, design records

Proposal for structural


measures, data etc

Model studies,
Investigation data

Mechanical Works

Flood Control and


Management

Research data

Design of Works

Sanctioned Proposals, data etc

Research Activities

Periodical inspection reports, Remedial


measures

Approved DPR, Field


information and Data

Investigation and
Planning

Reports concerning flood projects

Reports
concerning
major and
medium
projects

Physical and
Financial progress
reports of projects

Reports on minor
irrigation projects
Irrigation tubewells/lift canals

Monitoring and
Evaluation

Dam Safety Monitoring

C-2

UPID MIS Study

Version 1.0

Process Flow Diagram

Financial Accounting

Budget

Treasury
Issues Cheque
(Grant 93)

AG UP
Sends reports

E-in-C

Information and Fund flow

Sends reports

Budget
Information

Monitors

Divisional Officer

Preparation of various
reports
Preparation of
Final Accounts
Adjustment a/c
Transfer Entry

Monitors

Issues Cheque
(Grant 94)

Preparation of
Monthly
Accounts

Referred by

Accounts

Stores
Account
Quantity
Account

15 digit code issued by


Ministry of Finance

Head of
Accounts

Value
Account

Cash Outlay
Information for preparation of Monthly Account

Cash Book
Receipts and Payments
Information

Contractor

Temporary
Imprest

Imprest Transaction
Information

Imprest

Details

Subsidiary
Register
Preparation of reports

Information of Value Account and Quantity Account

Referred by

Permanent
Imprest

Works

C-3

UPID MIS Study

Version 1.0

Process Flow Diagram

Audit and Draft Para Management


Internal Audit

Internal Audit is performed of identified


category
Raises Objections

Objections are presented to the


concerned divisional/controlling officer in the
form of Rough Notes. Reply is sought from
concerned officer
The explanations given by divisional/
controlling officer are discussed by audit
team
Audit team submits the details of Audit
objections to Finance Controller in Internal
Audit Report

Compliance with audit objections by the


concerned officer is ensured

The important objections are brought to the


notice of the E-in-C and the Government
through quarterly reports

C-4

UPID MIS Study

Version 1.0

Process Flow Diagram

Audit and Draft Para Management


External Audit

External Audit is performed of identified categories


Raises Objections.

Objections are presented to the concerned officer of UPID in the


form of Rough Notes. Concerned officer has to submit answer
within the stipulated time
Satisfactory explanation to Objection

Objections are
disposed off

The explanations given by concerned officer on rough notes are


discussed by audit team. Office copy is retained by the concerned
officer
Unsatisfactory explanation to Objection

Audit team submits the details of Audit objections alongwith


original 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 the


compliance and submits the same to competent authority for
comments
The replies are verified and comments, if any, are sent back for
closure. After verification of closure of comments, replies are
sent to AGUP
Satisfactory explanation to Objection

Objections are
disposed off

AGUP evaluates the replies


Unsatisfactory explanation to Objection

Draft Para Cell of AGUP prepares the Draft Para Report

Draft Para is submitted to Head of department by AGUP for further


compliance
Objections requiring
attention like serious
objections or objections
holding insufficient replies
from the department are
basis for PAC Para

Preparation of PAC para

E-in-C provides compliance for all issues of PAC para to Public


Accounts Committee (PAC)

CAG para is prepared statewise from important paras of PAC

C-5

UPID MIS Study

Version 1.0

Process Flow Diagram

Contracts Management

Renewal of registration before expiry of


the stipulated period, otherwise, reregistration is done
Registration of contractors
Blacklisting/ Removal of Contractors done
as per criteria outlined, if required.

Contractor Register

Contractors are assigned work after the


tendering process and the bond is signed

List of contractors to be blacklisted /


removed

Register of blacklisted contractors


updated

Detailed agreement signed and work


assigned

Measurements are recorded in


Measurement Book (MB)

For Maintenance Divisions (Amount <


Rs.5000/-)

Updated Measurement Book

JE prepares the bill and submits to AE


for verification.
Bill/ Measurement Book

AE verifies the measurement and work in


MB, approves and submits to EE for
payment
Bill/ Measurement Book

The running payment is made by AE after


verifying the work and measurement in
MB, in case, the amount of cheque to be
issued to an individual contractor is
limited to Rs. 5000/-

In such cases, the account is post audited


by the divisional accountant in the
divisional office

EE verifies the measurement and work in


MB and if satisfied authorises payment by
making payment order
Bill

Bill goes to divisional accountant for preaudit and payment


Bill

Bill goes to cashier of division office for


payment and entry in relevant records
such as Cash Book, Agreement/
Contractor Ledger/MB etc.
Payment

Payments made by cheque in the form of


Running Bills or Final Bills as the case
may be

C-6

UPID MIS Study

Version 1.0

Process Flow Diagram

Human Resource Management


Manpower Allocation and Recruitment

Manpower
estimates

Estimation of additional manpower


requirement at various units

Assimilation of requirements
at circle, zone and
E-in-C office

Finalised
requirements

Finalisation of additional
manpower requirement by
competent authority

Revision of sanctioned
manpower
Order to revise
sanctioned
manpower
For employees <
sanctioned
manpower

Updating of sanctioned
manpower

Estimation of vacancies at
different units
Number of
vacancies
For fresh recruitment
of employees for
posts under purview
of UPPSC

Completion of procedure for direct


recruitment of candidates
and posts out of
purview of
UPPSC

Decision on re-allocation /
promotion or fresh
recruitment

List of shortlisted
candidates

Appointment/ posting letters


to shortlisted candidates after
police verification

Verification of certificates
and personal details of
candidates at place of
posting
Personal details
and certificates
verified

Creation of personal file


for fresh recruits

C-7

UPID MIS Study

Version 1.0

Process Flow Diagram

Human Resource Management


Complaints Management

Receiving
complaints

Complaint details
Before start of disciplinary
proceedings

Preliminary enquiry
on complaints

Unsatisfactory
explanation by
employee

For complaints related to


corruption or violation of
government financial and
administrative rules

Vigilance enquiry

First opportunity to
named employee
for explanation

Satisfactory
explanation
by employee

Departmental
proceedings

Sanction of prosecution
by appointing authority

Start of legal action

Preparation of
charge sheets and
appointment of
enquiry officer

Charge
Sheet

Second opportunity
from enquiry officer
to employee for
explanation

Report from
enquiry officer to
appointing officer

Legal proceedings
in competent court

Court
orders

Action and closure


of complaint file

Issuing of 'Show
Cause Notice' to
employee by
appointing officer

C-8

UPID MIS Study

Version 1.0

Process Flow Diagram

Human Resource Management


Grievance Management

Receiving grievance

Grievance details

Maintaining details of
grievance in a register

Grievance details

Communicating with
concerned offices for
further actions

Taking action for redressal of


grievance and submission
of report to grievance
registration office
If no protest
by aggrieved
In case of protest
by aggrieved

Receiving notice from


aggrieved

If aggrieved is
not satisfied by
the action

Taking action for redressal


of grievance

Legal proceedings in
competent court

Court orders

Action and closure of


grievance file

C-9

UPID MIS Study

Version 1.0

Process Flow Diagram

Payroll Accounting
Finance

Information
Flow

Disburses

Salary

Computes

Information Flow

Pay Revision
Maintains

Information and Fund Flow

Establishment

Drawing and
Disbursing Officer

Sends to

Prepares check

Pay Bill
Employee
Information

Treasury
Calculates

Prepares
Prepares

Pension

Prepares

Processes

Maintains
and Monitors

Maintains

Payroll

Loan and
Advances

Sends to

Income Tax
Bills for Other
Allowances
Bills for Other
Recoveries

Generates

Group Insurance and


Saving Scheme

Pay Summary
Report

Sub Headwise
Budget Register

Employee Arrear
Details

Schedule of GIS
Deduction

Pay Slip

Schedule of GPF
Deduction

Acquittance Roll

Last Pay Certificate

Annual Increment
Information

Income Tax Returns

GPF Passbook

Advance Details

Schedule of Income
Tax Deduction

Annual Salary
Statement

C-10

UPID MIS Study

Version 1.0

Process Flow Diagram

Litigation Management

Filing petition in
concerned court
Copies to concerned
parties
Narration directive

In case delay in
sanction

Grant of sanction
Administrative
approval

Delay condon
Narrative preparation

Verification with GO/


directives by
establishment section

Narrative processing

Filing objections

Case proceedings and


compliance with
orders

C-11

UPID MIS Study

Version 1.0

Process Flow Diagram

Stores Accounting
Divisional officer ensures proper arrangements are made for
custody of stores and protection from deterioration and fire
Unserviceable

Obtain the sanction of competent


authority for their write-off

Investigation of store
Serviceable

Surplus Store

Maintenance of Stores

Divisional officer reports to


Stores purchase officer for
surplus stores
Notification

Stock

Tools and
Plant

Stores purchase supplement


to the UP gazette for sale or
transfer to other department

Survey reports of surplus store

Receipts
On Transfer

Issue
Other sub-divisions,
divisions or departments

Disposed off as per rules

Issued for

For use on works either by issue to


contractors or issue direct to works

Purchase

Suppliers
Purchase

Manufacture
Issued for
Purchase

For despatch to other sub-divisions,


divisions, of department

DGS&D
Purchase

DOI
Purchase

Issued for

CESPO

For issue to employees (In case of


tools and plants only)

C-12

UPID MIS Study

Version 1.0

Process Flow Diagram

Revenue

Conduction of detailed assessment of


irrigation revenue

Preparation of jamabandi statement

Submission of jamabandi to collector


for revenue collection

Bringing collections made by UPID into


treasuries to the credit of concerned
revenue heads

Collection of tauzi statement from


collector for irrigation revenue realised

Submission of monthly statement of revenue


realisation received in division
to AGUP

C-13

UPID MIS Study

Version 1.0

Process Flow Diagram

Budgeting

Budget estimates at
different levels of
department

Consolidated budget
estimates to Government

Budget sanctioned by
Government

Disbursement of funds to
divisions for Grant93

Release CCL for budget


sanctioned

Consolidated demand
for CCL

Processing at E-in-C
office

Disbursement of funds
through C.E. to circles
and then to division for
Grant94
Demand
for CCL

Send monthly
expenditure report to
AGUP

Demand for CCL at


division level

Surrender unutilized
budget

C-14

UPID MIS Study

Version 1.0

Process Flow Diagram

Procurement and Tender Management (Equipments)

Demands for procurement raised from


field offices
Indents

Items purchased at field level by direct


purchases or local tendering if within
financial powers of AE, EE and SE.
Otherwise, indents forwarded to CESPO
after due scrutiny and approvals
Procured items/ indents to CESPO

Indents registered by CESPO


Registered indents

Technical scrutiny of indents done by AE


of CESPO

Scrutinised indents

Data of indents compiled for state of UP


Indent Plan

Indented items checked on DOI rate


contract
If does not exist

Indented items checked on DGS&D rate


contract
If does not exist

Invitation of tenders done for indented


items as per the financial powers of the
competent authorities
Tender Document

Tenders received in sealed envelopes and


opened in due time as per the financial
powers of the competent authorities
Opened Tenders

Part (a) of the tender is evaluated by


competent authorities
Contd.

If exists

If exists

Rate Contracts for the indented items


are evaluated
Evaluation report

Selection of Vendor done and order


placed
Order

Material dispatched to consignee only


after pre-dispatch inspection is done by
independent third party agency
Material
dispatched

Progress of supplies monitored


regularly and due performance report
taken from consignee

C-15

UPID MIS Study

Contd.

Version 1.0

Process Flow Diagram

If satisfactory

Part (b) of the tender is evaluated by


competent authorities
If satisfactory

Part (c) of the tender is evaluated by


competent authorities
Evaluation Report

Selection of bidder done by competent


authorities based on the evaluation of
parts a, b and c of the tender
For Equipment/
Materials

Acceptance Letter is placed on the selected


vendor and agreement is signed
Order

Material dispatched to consignee only


after pre-dispatch inspection is done by
independent third party agency
Material
dispatched

Progress of supplies monitored regularly


and due performance report taken from
consignee

C-16

UPID MIS Study

Version 1.0

Process Flow Diagram

Procurement and Tender Management (Works)

Demands for procurement raised from field offices


Indents

Tenders are published normally through Directorate of


Information in the most open and public manner for tenders
exceeding RS. 2.0 lacs
Tender Document

Tenders received in sealed envelopes and opened in specified


place and time as mentioned in the tender document as per the
administrative order issued by E-in-C, UPID
Opened Tenders

Part (a) of the tender is evaluated by competent authorities in


specialised type of works such as tunnelling, barrage etc.,
usually costing more than Rs. 1.0 crore
If satisfactory

Part (b) of the tender is evaluated by competent authorities in


specialised 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


Evaluation Report

Selection of bidder done by competent authorities based on the


evaluation 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, security


deposit is sought and other terms and conditions mentioned
there in
If accepted by
bidder

Detailed agreement signed normally on ID Forms 111 and 112

C-17

UPID MIS Study

Version 1.0

Process Flow Diagram

Procurement and Tender Management (Consulting Services)

Preparation of the TOR of the assignment


TOR

Preparation of the cost estimate to determine the budget of the


assignment

Advertising to invite expressions of interest from consultants

Short listing to identify consultants qualified for the assignment

Preparation and issuance of RFP


RFP document

Submission of proposals by the consultants


Proposals

Evaluation of proposals submitted by consultants


Evaluation Report

Negotiations and signing of the contract with the consultants

C-18

UPID MIS Study

Version 1.0

Process Flow Diagram

Assembly and Parliament Questions and their Reply Management


Questions
Questions received and recorded by
assembly cell and chief engineers
Questions/reminders

Nodal officers / concerned CE's


Replies
Starred/Short Term Starred

Replies to secretariat and a copy to


assembly cell (E-in-C office)

Replies

Briefing to honourable minister by nodal


officers/concerned CE's

Minister replies in the house

Unstarred

Replies

Replies sent from secretariat to concerned


MP/MLA/MLC

Question answered satisfactorily or


transformed into assurance, in case the
problem is due to lack of physical
commodity or funds

Nodal officers/concerned CE's intimated


about assurances

C-19

UPID MIS Study

Version 1.0

Process Flow Diagram

Assembly and Parliament Questions and their Reply Management


Rules
Urgent matters of public importance
received and recorded by assembly cell
and chief engineers
Urgent Matters of Public Importance

Nodal officers / concerned CE's


Notes

Replies to concerned authorities with a


copy to assembly cell (E-in-C office)

Minister replies in the house on the status


of the matter
If concerned honourable member not
satisfied

Final answer sent to concerned authorities

C-20

UPID MIS Study

Version 1.0

Process Flow Diagram

Assembly and Parliament Questions and their Reply Management


Co-ordination with Assurance Committee
Detailed information of assurances
received and recorded by assembly cell
and chief engineers
Assurances

Files of assurances maintained at assembly


cell

Information about review meeting of


assurances received and recorded by
assembly cell
Information about Review Meeting

Concerned CEs/Nodal Officers


Present status of assurance

Present status sent to concerned secretary


with a copy to assembly cell

Discussions with assurance committee and


status of assurance updated

C-21

UPID MIS Study

Version 1.0

Process Flow Diagram

Assembly and Parliament Questions and their Reply Management


Coordination with other Committees
Questionnaires received by assembly cell
Questionnaires

Nodal officers / concerned CE's


Filled-up questionnaires

Filled-up questionnaire to concerned


secretary with a copy to assembly cell (Ein-C office)

Information compiled by concerned


secretary
Compiled Information

Approval of compiled information by


Principal Secretary

Compiled information sent to members of


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

C-22

UPID MIS Study

Version 1.0

Process Flow Diagram

Irrigation and Water Management


Operation and Maintenance of Head-works for Dams, Barrages and Reservoirs

Assessment of volume of water available in dams, barrages and


reservoirs

Regulation orders for regulation/operational staff of head work


Regulation orders

Operation of head works to regulate flow of water in canals and


rivers
Records of operation of gates at head works

Maintenance of head works as per standard norms and


maintenance manuals

C-23

UPID MIS Study

Version 1.0

Process Flow Diagram

Irrigation and Water Management


Operation and Running of Canal System (River Diversion Schemes)
Estimation of water
availability on 10-daily basis
after consulting historical
discharge records
Water availability

Finalisation of requirements
Preparation of roster for
after interaction with
running and closure-branch
District administration and
wise
Water
agricultural department Requirements
Roster

Operation of canal systems


according to the roster
(Involves management input
to cater for the actual
availability i.e. shortage/
surplus)

C-24

UPID MIS Study

Version 1.0

Process Flow Diagram

Irrigation and Water Management


Operation of Storage Reservoir based Canals

Assess volume of
water in reservoirs

Assess requirements
of water for canal
operation

Issue standing
orders

Regulation of water
through head
regulators present
at the dams

Regulation of water
for irrigation and
other uses

Opening/Closing of
sluice gates and
release of water in
canals

Maintaining records

C-25

UPID MIS Study

Version 1.0

Process Flow Diagram

Irrigation and Water Management


Maintenance of Canal Systems

Field inspection of existing systems


Reports and records

Preparation and submission of proposals and


estimates for repairs and silt clearance
Proposal

Approval of the repair jobs


Adminstrative approval
Financial approval
Technical approval

Maintenance work of canal systems

Normal maintenace such as maintenance of


outlets, service roads and banks,
maintenance and upkeep of civil structures
and silt clearnace

Special repairs such as replacing and


renovating major and minor systems

Construction and maintenance records,


along with estimates

C-26

UPID MIS Study

Version 1.0

Process Flow Diagram

Irrigation and Water Management


Recording of Irrigation Areas and Revenue Collection

Recording in Khasra shudkar


Khasra-shudkar Abpashi

Completion of final
measurements

Preparation of parchas
Parchas

Distribution of parchas
to all cultivators
Objections

Preparation of
jamabandi
Jamabandi

Complaints
Register

Lodging of complaints
by cultivators

Verification of
jamabandi at
Divisional Office

No objections

Payment of bills by
cultivators

Disposal of complaints

Submission of
assessment
statement

Sending compiled
reports to concerned
authorities

C-27

UPID MIS Study

Version 1.0

Process Flow Diagram

Drainage Improvement and Maintenance


Preparation and submission
of proposals along with
estimates
Proposal

Grant of approvals
Technical approval
Adminstrative approval
Financial approval

Implementation of drainage
projects

Inspection of existing
systems
Inspection reports and records

Maintenance work for


drainage systems

Normal maintenance such as


maintenance and upkeep of pucca
works, earthen works and restoration
of drains

Special Maintenance such as


rehabilitation of existing systems

Construction and
maintenance records

C-28

UPID MIS Study

Version 1.0

Process Flow Diagram

Flood Control and Management

Identification of flood prone


areas
Inspection reports and records

Preparation and submission


of proposals and estimates
Proposals and estimates

Approval of proposals and


sanction of estimates
Administrative approval
Technical approval
Financial approval

Adopting structural and


non-structural measures to
prevent floods
Construction of flood
control or protective
works

Flood forecasts

Receiving information of
flood forecasts from
CWC

Timely inspection and


maintenance of existing
works

C-29

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Sanction of new Major/Medium Irrigation Project
Preparation of Project feasibility report by
Field Chief Engineers
Feasibility report

Comments

CE (AP) office scrutnizes and vets feasibility


Report and sends it to CWC for technical
sanction through State Government
CWC grants technical sanction on
feasibility report

Preparation of DPR by field Chief Engineers


Technical sanction on feasibility
report
Comments

DPR

Checking of DPR in E-in-C office for


forwarding to UP Govt.

UP Govt. forwards the DPR to CWC, GOI


for technical sanction

Preliminary examination in the Project


Appraisal Directorate and circulation to
appraisal agencies

Forwarding report to the Ministry of


Environment & Forests
Examination in the various specialised
Directorates of CWC, Ministry of Water
Resources and Ministry of Agriculture and
transmission of first set of comments to state

Contd.

C-30

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Sanction of new Major/Medium Irrigation Project
(Contd.)
1

Submission of the state's replies to comments


raised by the Appraisal Agencies

Clearance to be obtained from Ministry


of Environment and Forests by the State
Govt. and communicated to CWC

Examination of state replies and transmission of


second set of comments to the state

Clearance

Submission of the state's final replies to


second set of comments to CWC

Examination of state's final replies and


discussion with Project Engineers for
finalisation in CWC

Preparation of note by Project Appraisal


Directorate for the Advisory committee

Technical sanction by CWC, GOI

Technical approval for


DPR

Submitted to UP Govt. for EFC for Financial


Approval
Financial approval
and approved DPR

Submitted to Planning Commission, GOI for


investment clearance

Project starts after investment


clearance from Planning Commission
GOI

C-31

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Flood related Works
For scheme costing more than 2 crores

Submission of scheme by concerned CE to


E-in-C, UPID for investigation by I&P
with relevant information
Comments

Preparation of feasibility report by


concerned SE and CE and submission to
E-in-C, UPID

Scheme

Examination of scheme against various


standard document by I&P division for
flood control

Feasibility report

Scheme

Presentation of scheme in Chief


Engineers' Committee for Technical
approval/clearance

For schemes costing less than Rs 60 Lacs and


covered under identified category

Technical approval
by Chief Engineers'
Committee

Technical clearance from CEs'


Committee

Presentation of scheme in TAC of State


flood control board for Technical
approval/clearance

For schemes costing upto Rs 60 Lacs and


other than identified category

Technical approval
by TAC of State
Flood Control
Board

Technical clearance from TAC of


State Flood Control Board

For schemes costing more than Rs


60 Lacs and upto Rs 2 crores

Presentation of scheme in GFCC, Patna


for Technical approval/clearance

Technical clearance from GFCC,


Patna

Technical approval
by GFCC, Patna

Presentation of scheme in TAC of


Planning Commission, GOI for schemes
costing more than Rs. 2 crores
Technical approval from TAC of Planning
commission, GOI

Technical approval from different


committees / board

contd.

C-32

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Flood related Works
(contd.)

For schemes having inter-state /


inter-national implications

Clearance by CWC / Ministry of


Irrigation and Power

Sanction of scheme by steering committee


of State Flood Control Board
Technical approval from State Flood
Control Board

For Schemes
upto Rs 30 Lacs

Administrative
approval by SE

For Schemes above Rs


30 Lacs and upto Rs 50
Lacs

Administrative
approval by CE

For Schemes above Rs


50 Lacs

Administrative
approval by
State
Government

Administrative approval

Financial approval for the scheme by


Government

C-33

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Five-Year Plan & Yearly Plans

Constitution of Steering and Coordination


Committee headed by Chief Secretary,
GoUP

Constitution of Working Group headed by


Principal Secretary (Irrigation), GoUP

Constitution of Sub Working Groups


headed by Secretary (Irrigation) to
finalize five year plan/yearly plans for
different sub-sectors

Preparation of proposals by offices of


concerned CEs and submission to E-in-C
office
Proposal

Presentation/discussion on proposal by Ein-C with working group


Recommendations from working group

On recommendations from Working


Group, Draft Plan is sent to Planning
Department, GoUP
Draft Plan

Discussions and Clearance by Steering


and Coordination Committee on draft
plan

Estimation of sector-wise outlay for five


year plan and yearly plans by Planning
Department, GoUP

Contd.

C-34

UPID MIS Study

Version 1.0

Process Flow Diagram

Investigation and Planning


Five-Year Plan & Yearly Plans
(Contd.)
Estimated sector-wise outlay

Composition of draft five year plan and


yearly plans by UPID according to
estimated outlay
Draft five year plan and yearly plan

Discussions by Working Group


constituted by Planning Commission,
GOI on Draft Plans sent by Planning
department, GoUP

Finalization of outlay for Five Year Plan


and Yearly Plans of State by Planning
Commission, GOI
Finalized outlay and five year plan

On recommendations from Working


group of Planning Commission, GOI, reestimation of sector-wise outlay by
Planning department, GoUP
Re-estimated sector-wise outlay

Work on composition of corresponding


yearly plan based upon re-estimated
sector-wise outlay by E-in-C office
Final yearly plans

Final Proposal of Yearly Plan sent to


Planning Department, GoUP

C-35

UPID MIS Study

Version 1.0

Process Flow Diagram

Design of Works
Financial & administrative approval for
project
DPR

Planning of design work jointly by


CE(Design) and CE(Construction) as per
project schedule

Allocation of design work for the project


to unit (comprised of EE and AEs)

Initial study of various documents and


similar archived designs by unit
Requests for field information and data
as per checklists

Engineering surveys and investigation by


field engineers for collection of requested
data. If required, services are hired from
external agencies as well
Requested information and data

Preparation of initial design, design note


and GAD and submission for approval
Approved GAD

Comments

Field engineers do review and perform


model studies(if required)
Final GAD

Preparation of detailed design for each


component present in approved GAD
Design records for approval

Approval of design
Re-designed records for
approval

Design records

Start of construction work by Field


engineers. For any deviation from
approved design during construction,
CDDID is consulted

C-36

UPID MIS Study

Version 1.0

Process Flow Diagram

Mechanical Works
Tubewell Irrigation

Signing of contract with


Panchayati Raj

Signed
Contract

Receiving and utilising


grants for repair and
maintenance of mechanical
and distribution system

Mechanical
faults

Receiving complaints about


closure and defects of
tubewells

Electrical
faults

For reconstruction
of failed tubewells

Rectifying mechanical
faults

Approval for reconstruction


of tubewells

Reporting faults to UPPCL

Approval from
competent
authority

Mechanical maintenance of
tubewells

Ensuring availability of
funds for reconstruction

Following up with UPPCL


for rectification

Availability of
funds

Reconstructing tubewells

C-37

UPID MIS Study

Version 1.0

Process Flow Diagram

Mechanical Works
Irrigation Workshop Circle, Lucknow

Demand Letter (indent)


for Components from
Tubewell Division

Availability of Money
from Tubewell Division

Purchase raw material


and receive burnt copper
wires from tubewell
division

Foundry Shop

Blacksmith
Shop

Machine Shop

Fabrication
Shop

Fitting Shop

Workshop

Quality
Control

Central Store
of workshop

Transfer to
tubewell
division

C-38

UPID MIS Study

Version 1.0

Process Flow Diagram

Mechanical Works
Irrigation Workshop Circle, Kanpur
Sending proposal on types
of gates to concerned civil
division and obtaining
approval

Receiving demand letters for


maintenance of hydromechanical equipments

Approval from
concerned civil division

Sending of information on
proposed manufacturing
expenditure to concerned civil
division from workshops
If funds are available
with civil division

Sending of drawings to
Irrigation workshop

Manufactured
parts

Manufacturing of various
parts in different sections
of workshops

Sending manufactured parts


to sites

Erection work

Obtaining materials to be
used in erection work through
procurement organisation

Handing over the work


to civil division

Mechanical maintenance of barrages


Identifying damaged
components for replacement
and maintenance

Obtaining materials and


machinery for maintenance,
through procurement
organisation

Repairing of regulator gates


of barrages, dams and
canals, as per schedule

Obtaining approval from civil


division for closure,
if required

C-39

UPID MIS Study

Version 1.0

Process Flow Diagram

Dam Safety Monitoring

Preparation of pre-monsoon and postmonsoon inspection report for each dam


by field engineers

Documentation

Periodical inspection reports


along with checklists

Preparation
of Dam Data
Book

Preparation of consolidated Health Status


Report by Dam Safety Cell based upon
periodical inspection reports
Health Status Report

Maintenance
of project
completion
report

Inspection of dams by officers of Dam


Safety Cell to identify distressed dams
Inspection reports

Maintenance
of operation
&
maintenance
manual for
dam

Preparation of Health Status Report and


annual consolidated report by Dam Safety
Cell
Health Status Reports of
distressed dams

These documents are referred at various


stages during monitoring of Dam safety

Dam Safety Review Panel/Dam Safety


Review Committee

Requests for

Reports

Data

Requests for

Recommends

Further
inspection

Investigation/
Study

Remedial
measure

Consolidated health status


report

CWC performs review of


Health Status Reports

C-40

UPID MIS Study

Version 1.0

Process Flow Diagram

Monitoring and Evaluation

Sending reports in prescribed


formats from division
Reports from divisions

Consolidation of reports from


divisions at circles and sending
to zones
Reports from circles

Consolidation of reports from


circles at zones and sending to
E-in-C office
Reports from zones

Other functional areas such as


Budgeting, Stores, Financial
Accounting etc.

E-in-C Office: recieve reports,


organise meetings and monitor
and evaluate progress

Sending selected reports to


state goverment and state
planning institution

Reports

E-in-C Office: resolve


bottlenecks and issue directives
for follow-up action

C-41