Data Flow Diagram for Human Resource Management System - PDF by kmz12675

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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

  Funds related questions                                                                                                                                                                Budget                                                                                                                                                    Revenue
                                                                                                     Budget estimate
                                                                                                     Budget allocation




                                                                                                                                                                                                                                                                                                                                                                                                               Maintenance of revenue head
                                                                                                                                                                                                                                                                          Asset generates revenue



                                                                                                                                                                                              of funds utilised
                                                         Asset Management                                                                                                                                                                                                 Monitoring Revenue Records
                                                                                                                                                                                              Monitoring
    Asset related questions




                                                                                                                                               Information
                                                                                                                                               on assets
                                                                                                                                               and issuing                                                                                                                                          Budget estimate
                                                                                                                                               directive                                                                                                                                            Budget allocation

                                                           Monitoring                                                                                                                                                     Monitoring of financial progress of projects
                                                           court cases                                                                                                                   Monitoring and
                                                                                                                                                                                                                                                                                                            Financial Accounting
                                                                                                                                                                                          Evaluation
                                                                                                                                                                                                                          Monitoring




                                                                                                Monitoring of employees' post                                                                                                                                              Paybill preparation,
                                                                                                                                                                                                                          of stores




                                                                                                                                                                                                                                                                           Pay summary report,




                                                                                                                                                                                                                                                                                                                                                                   Maintenance of value and quantity account
                                                                                                retirement benefits, Cases
                                                                                                                                                                                                                                                                           Salary generation,
                                                                                                related to complaints and
                                                                                                grievances etc.                                                                                                                                                            Contingent charges
                                                                                                                                                                                                                                                                           etc.




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             Sate of tender forms etc.
                                                                                         Human Resource




                                                                                                                                                                                                                                                                                                                                                                                                                                              Financial transactions
                                                                                          Management




                                                                                                                                                                                                                                                                                                                                                                                                                                                                       Contractor security
                                                                                                                                                                                                                                                                                                                            Financial audit
                                                                                                                                                                                                                                                    Disciplinary action
                                                                                                                                                                     Stores management
                                                            Cases filed by UPID employees and




                                                                                                   Employee information
    Establishment related questions




                                                                                                                           Budget allocation




                                                                                                   Pay revision
                                                                                                                           Budget estimate




                                                                                                   Loan and advances
                                                                                                   Transfer/deputation
                                                                                                   GPF
                                      Land acquisition




                                                                                                                                                                                              Finance related questions




                                                                                                   GIS
                                                                                                                                                                                                                                                                           Audit and Draft Para
                                                            complaint section




                                                                                                   Income tax
                                                                                                   Leave etc.                                                                                                                                                                 Management
                                                                                                                                                                                                                                                                                                    Audit of stock and
                                                                                                          Payroll Accounting                                                                                                                                                                        tools and plants



                                                                                                                                                                                                                                                                                               Stores Accounting
                                                                                                                                                                                                                                                                                                     Store transactions
                                                                                                                                                                                                                                                                                 Procurement




                                                                                                                              Cases related
                                                                                                                              to contractors
                                                         Litigation Management                                                                                                                                                                                                                                            Contracts Management
                                                                                                                                                Contractor related




                                                                                                                                                                                                                                  Audit related questions




                                                                                                                                                                                                                                                                                                                                              For work execution
                                                                                                                                                questions




                                                                                         Assembly and Parliament                                                                                                                                                                                Procurement and Tender
                                                                                                Question                                                                                 Procurement related questions
                                                                                                                                                                                                                                                                                                     Management




                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             C-1
UPID MIS Study                                                                                                                                               Version 1.0                                                          Process Flow Diagram


                                                                                                                                                Process Flow for Technical Functions



                                                          Irrigation Water                                                                                   Management of excess irrigation water
                                                                                                                                                                                                                              Drainage Improvement
                                                            Management
                                                                                                                                                                                                                                and Maintenance
                                                                                                                                                                                                                   Regulation of water through dams,barrages
                                                                                                 Report on irrigation, revenue
                                                                                                 realisation and cropping pattern
                                                                                                                                                                    Monitoring and
                                                                                                                                                                     Evaluation




                                                                                                                                                                                                                                                                                   Reports concerning flood projects
                                                                                                                                       Financial progress
                                                                                                                                       reports of projects




                                                                                                                                                                                                 concerning
                                                                                                                                       Physical and




                                                                                                                                                                                                 major and
                                                                                                                                                                                                 medium
                                                                                                                                                                                                 projects
                                                                                                                                                                                                 Reports
                                    Reports on minor
                                    irrigation projects




                                                                                                                                                                                                                   Sanctioned Proposals, data etc
                                                                                                                                                                  Investigation and
                                                                                                                                                                      Planning
                                                                                                        Approved DPR, Field
                                                                                                        information and Data




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

                                                                                                                                                                                                        Proposal for structural

                                                                                                                                                               project etc
                                                                                                                                                                                                        measures, data etc
 Irrigation tubewells/lift canals




                                                                                                                                                                                                                                   Flood Control and
                                                          Design of Works                                                                                    Construction of Projects
                                                                                                                                                                                                                                     Management
                                                                                                                                                                                 Research data




                                                                                                                               Design Records and
                                                                                                                               Drawings
                                                            Standardize design, design records




                                                                                                       Model studies,                                                                                                                    Periodical inspection reports, Remedial
                                                                                                       Investigation data
                                                                                                                                                                Research Activities
                                                                                                                                                                                                                                         measures




                                                          Mechanical Works                                                                                                                                                    Dam Safety Monitoring




                                                                                                                                                                                                                                                                                                                       C-2
UPID MIS Study                                                         Version 1.0                                                                    Process Flow Diagram



                                                                                                     Financial Accounting




           Budget                         Treasury
                                                                                                            Issues Cheque
                                                                                                              (Grant 93)
                              Sends reports




                                                                        Information and Fund flow
            E-in-C                       AG UP

                                              Sends reports


                                                                                                                 Monitors
           Budget                                                                                                               Preparation of various
        Information
                                                                                                                                      reports


                                                                                                                             Preparation of
                                                       Divisional Officer
                                                                                                                             Final Accounts
                   Issues Cheque                                       Monitors                                                                      Adjustment a/c
                     (Grant 94)                                                                                                                      Transfer Entry
                                                                                                                                                                                                                      Value
                                                                                                                                                                                                                     Account
                        Referred by                                                                              Preparation of                         Stores
                                                               Accounts                                             Monthly                            Account
                                                                                                                   Accounts
                                                                                                                                                                                                                     Quantity
                     Head of
                                           15 digit code issued by                                                                                                                                                   Account
                                            Ministry of Finance
                    Accounts
                                                                                                                 Cash Outlay
                                      Referred by




                                                                                                                                                                 Information of Value Account and Quantity Account
                                                                                                    Information for preparation of Monthly Account

                                                              Cash Book

               Receipts and Payments
                    Information
                                                                                                                                          Temporary
                                                                                                                                           Imprest


        Contractor                                                   Imprest Transaction
                                                                        Information                                  Imprest
                                                              Subsidiary
                                                               Register
         Details




                                                                                                                                           Permanent
                                          Preparation of reports                                                                            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

                                                     The explanations given by concerned officer on rough notes are
             Objections are
                                                    discussed by audit team. Office copy is retained by the concerned
              disposed off
                                                                              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
                                                                     AGUP evaluates the replies
              disposed off
                                                                                       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                                           Preparation of PAC para
  holding insufficient replies
   from the department are
      basis for 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, re-
                                                                                       registration is done
                     Registration of contractors
                   Contractor Register                                     Blacklisting/ Removal of Contractors done
                                                                              as per criteria outlined, if required.
           Contractors are assigned work after the                                                           List of contractors to be blacklisted /
                                                                                                                           removed
           tendering process and the bond is signed
  Detailed agreement signed and work                                             Register of blacklisted contractors
                assigned                                                                      updated

                  Measurements are recorded in
                   Measurement Book (MB)                             For Maintenance Divisions (Amount <
                                                                                  Rs.5000/-)
                                          Updated Measurement Book


                                                                           The running payment is made by AE after
            JE prepares the bill and submits to AE
                                                                            verifying the work and measurement in
                       for verification.
                                                                            MB, in case, the amount of cheque to be
                                         Bill/ Measurement Book               issued to an individual contractor is
                                                                                      limited to Rs. 5000/-
         AE verifies the measurement and work in
           MB, approves and submits to EE for
                          payment                                            In such cases, the account is post audited
                                          Bill/ Measurement Book                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 pre-
                      audit 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             Assimilation of requirements
 Estimation of additional manpower
                                                                     at circle, zone and
     requirement at various units
                                                                        E-in-C office




                                             Finalised
                                           requirements
                                                                 Finalisation of additional
         Revision of sanctioned
                                                                 manpower requirement by
               manpower
                                                                   competent authority

     Order to revise
      sanctioned
       manpower
                                         For employees <
                                           sanctioned
                                            manpower
        Updating of sanctioned                                   Estimation of vacancies at
             manpower                                                 different units


                                                                                 Number of
                                                                                 vacancies
                                        For fresh recruitment
                                          of employees for
                                        posts under purview
                                             of UPPSC
                                                                 Decision on re-allocation /
  Completion of procedure for direct
                                                                    promotion or fresh
     recruitment of candidates
                                          and posts out of              recruitment
                                            purview of
                                              UPPSC
       List of shortlisted
          candidates



                                                                 Verification of certificates
     Appointment/ posting letters
                                                                  and personal details of
    to shortlisted candidates after
                                                                  candidates at place of
          police verification
                                                                           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
                                    Preliminary enquiry                                     proceedings

                                       on complaints

                                                                                                     First opportunity to
                                                                                                      named employee
  For complaints related to
                                                                                Unsatisfactory         for explanation
                                                                                explanation by
  corruption or violation of
                                                                                  employee
  government financial and
     administrative rules


                                                                                                                      Satisfactory
                                                                 Departmental                                         explanation
                  Vigilance enquiry                                                                                  by employee
                                                                  proceedings

                                 Sanction of prosecution
                                 by appointing authority


                                                               Preparation of                        Second opportunity
                                                              charge sheets and                      from enquiry officer
                 Start of legal action
                                                               appointment of                          to employee for
                                                               enquiry officer          Charge           explanation
                                                                                        Sheet




                                                                                                         Report from
                  Legal proceedings
                                                                                                       enquiry officer to
                 in competent court
                                                                                                       appointing officer


                               Court
                               orders
                                                                                                        Issuing of 'Show
                                                             Action and closure                         Cause Notice' to
                                                              of complaint file                           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                                    Legal proceedings in
                           of grievance                                              competent court




                                                                            Court orders
                       Action and closure of
                          grievance file




                                                                                                          C-9
UPID MIS Study                                                                                                                   Version 1.0                                                            Process Flow Diagram

                                                                                                Payroll Accounting


                                                                                         Finance
              Establishment




                                                                                                     Information and Fund Flow
                                                                                                                                                                                          Disburses




                                                      Information Flow
                                                                                                                                                                                                              Drawing and
              Pay Revision                                                                                                       Salary
                                                                                                                                                                                                            Disbursing Officer
  Maintains




                     Information




                                                                                                                                              Computes
                        Flow                                                                                                                                                                                Sends to       Prepares check

                                                                                                                                                                                                 Pay Bill

   Employee                                                                                                                                                                                                            Treasury
                                                                                            Payroll
  Information
                                                                                                                                                                                             Pay Summary
                           Maintains




                                                                                                                                                                                                                Sends to




                                                                                                                                                                             Calculates
                                                                                                                                                                                                Report
                                       and Monitors
                                        Maintains



                                                                         Processes




                                                                                                                                                         Prepares
                                                                                     Prepares




                 Pension                                                                                                                                                       Income Tax
                                                                                                                                   Prepares
                                   Loan and                                                                                                                            Bills for Other
                                   Advances                                                                                                                             Allowances
                    Group Insurance and                                                                                                                  Bills for Other
                      Saving Scheme                                                                                                                       Recoveries
                                                                                                Generates




                                                                                                                                    Sub Headwise
                                                                                                                                   Budget Register

                 Employee Arrear                                                                                                                                    Schedule of GIS
                     Details                                                                                                                                          Deduction

                                                                                                                                                                    Schedule of GPF
                     Pay Slip
                                                                                                                                                                       Deduction

                 Acquittance Roll                                                                                                                          Last Pay Certificate


                Annual Increment
                                                                                                                                                         Income Tax Returns
                  Information

                  GPF Passbook                                                                                                                                      Advance Details


                Schedule of Income                                                                                                                                  Annual Salary
                  Tax Deduction                                                                                                                                      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
                                                                    Delay condon
                   approval
                                     Narrative preparation



        Verification with GO/
            directives by             Narrative processing
        establishment section



                                       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
                                           Investigation of store
                                                                                             authority for their write-off

                                      Serviceable
                                                                           Surplus Store
                                                                                             Divisional officer reports to
                                          Maintenance of Stores                              Stores purchase officer for
                                                                                                    surplus stores
                                                                                                               Notification

                                                                                              Stores purchase supplement
                                                                                              to the UP gazette for sale or
                                                            Tools and                        transfer to other department
                                      Stock
                                                              Plant

                                                                                            Survey reports of surplus store




        Receipts                                               Issue                           Disposed off as per rules

     On Transfer
                     Other sub-divisions,
                   divisions or departments                   Issued for
      Purchase                                                                       For use on works either by issue to
                                                                                     contractors or issue direct to works
                          Suppliers

      Purchase
                        Manufacture
                                                              Issued for
                                                                                     For despatch to other sub-divisions,
      Purchase                                                                            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




                                                      Submission of jamabandi to collector
    Preparation of jamabandi statement
                                                            for revenue collection



   Bringing collections made by UPID into
                                                        Collection of tauzi statement from
    treasuries to the credit of concerned
                                                     collector for irrigation revenue realised
                revenue heads



 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




                             Processing at E-in-C
                                    office
                                                      Consolidated demand




                                                                            Disbursement of funds
                                                           for CCL




 Disbursement of funds to   Release CCL for budget                          through C.E. to circles
  divisions for Grant93           sanctioned                                and then to division for
                                                                                   Grant94

                                                                                                 Demand
                                                                                                 for CCL



                                Send monthly
                                                                             Demand for CCL at
                             expenditure report to
                                                                               division level
                                   AGUP




                             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


                                                                  Scrutinised indents
  Technical scrutiny of indents done by AE
                 of CESPO



                                                                  Data of indents compiled for state of UP

                                                                       Indent Plan

     Indented items checked on DOI rate
                  contract
                            If does not exist                                           If exists



   Indented items checked on DGS&D rate                                  Rate Contracts for the indented items
                  contract                                If exists                are evaluated
                              If does not exist                                                         Evaluation report


   Invitation of tenders done for indented
                                                                           Selection of Vendor done and order
   items as per the financial powers of the
                                                                                         placed
           competent authorities
                                                                                                         Order
                           Tender Document

   Tenders received in sealed envelopes and                              Material dispatched to consignee only
    opened in due time as per the financial                             after pre-dispatch inspection is done by
     powers of the competent authorities                                    independent third party agency
                                                                                                          Material
                            Opened Tenders
                                                                                                         dispatched

                                                                            Progress of supplies monitored
     Part (a) of the tender is evaluated by
                                                                         regularly and due performance report
            competent authorities
                                                                                 taken from consignee
         Contd.        1




                                                                                                                            C-15
UPID MIS Study                     Version 1.0        Process Flow Diagram


          Contd.
                          1         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       Unstarred
                                     assembly cell (E-in-C office)
            Replies                                                                      Replies



  Briefing to honourable minister by nodal              Replies sent from secretariat to concerned
           officers/concerned CE's                                    MP/MLA/MLC



                                                            Question answered satisfactorily or
         Minister replies in the house                    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 (E-
                                     in-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
 District administration and         running and closure-branch
                              Water               wise
   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                                    Opening/Closing of
                                 Regulation of water
        through head                                          sluice gates and
                                  for irrigation and
      regulators present                                     release of water in
                                       other uses
         at the dams                                               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,                          Special repairs such as replacing and
 maintenance and upkeep of civil structures                     renovating major and minor systems
              and silt clearnace



                            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                      Preparation of
            to all cultivators                          jamabandi
                         Objections
                                                               Jamabandi
                                      Complaints
                                       Register       Verification of
         Lodging of complaints
                                                      jamabandi at
            by cultivators
                                                     Divisional Office

       No objections

                                                                                        Submission of
   Payment of bills by
                                      Disposal of complaints                             assessment
      cultivators
                                                                                          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                             Special Maintenance such as
 works, earthen works and restoration                       rehabilitation of existing systems
               of drains



                                   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                               Flood forecasts




     Construction of flood                                         Receiving information of
     control or protective                                           flood forecasts from
            works                                                            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


                            1                                                       2          Contd.




                                                                                                  C-30
UPID MIS Study                              Version 1.0                    Process Flow Diagram

                                  Investigation and Planning
                        Sanction of new Major/Medium Irrigation Project
                                           (Contd.)
                              1                                                 2



                                                             Clearance to be obtained from Ministry
       Submission of the state's replies to comments
                                                             of Environment and Forests by the State
            raised by the Appraisal Agencies
                                                                 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


                                                                   Project starts after investment
       Submitted to Planning Commission, GOI for
                                                               clearance from Planning Commission
                  investment clearance
                                                                                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
                                                                          Preparation of feasibility report by
  Comments                 Scheme                                      concerned SE and CE and submission to
                                                                                    E-in-C, UPID
      Examination of scheme against various
                                                                                           Feasibility report
      standard document by I&P division for
                  flood control
                           Scheme

                                                             For schemes costing less than Rs 60 Lacs and
                                                             covered under identified category
         Presentation of scheme in Chief
        Engineers' Committee for Technical
                approval/clearance
                                                                          Technical approval
                           Technical clearance from CEs'
                           Committee                                      by Chief Engineers'
                                                                              Committee

                                                             For schemes costing upto Rs 60 Lacs and
                                                             other than identified category
      Presentation of scheme in TAC of State
         flood control board for Technical
                approval/clearance

                           Technical clearance from TAC of                Technical approval
                           State Flood Control Board                       by 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 different
                            Technical approval from TAC of Planning                committees / board
                            commission, GOI


                                                                                                                       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                     For Schemes above Rs                  For Schemes above Rs
                     upto Rs 30 Lacs                 30 Lacs and upto Rs 50                50 Lacs
                                                     Lacs




                                                                               Administrative
             Administrative              Administrative                         approval by
             approval by SE              approval by CE                            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 E-
                         in-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, re-
                    estimation 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

        Comments                                     Approved GAD



                          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                                         Electrical
                   faults
                              Receiving complaints about             faults
                                closure and defects of
                                      tubewells


                                              For reconstruction
                                              of failed tubewells




   Rectifying mechanical      Approval for reconstruction
                                                                    Reporting faults to UPPCL
            faults                  of tubewells


                                              Approval from
                                               competent
                                                authority




 Mechanical maintenance of     Ensuring availability of             Following up with UPPCL
        tubewells              funds for reconstruction                  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)
                                                       Availability of Money
   for Components from
                                                      from Tubewell Division
     Tubewell Division




                            Purchase raw material
                           and receive burnt copper
                             wires from tubewell
                                    division




                                                           Blacksmith
    Foundry Shop              Machine Shop
                                                              Shop




                                             Fabrication
               Fitting Shop                     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
             Receiving demand letters for
                                                                 of gates to concerned civil
               maintenance of hydro-
                                                                   division and obtaining
               mechanical equipments
                                                                          approval
                                                                                     Approval from
                                                                                 concerned civil division


              Sending of information on
               proposed manufacturing                             Sending of drawings to
            expenditure to concerned civil                         Irrigation workshop
               division from workshops
          If funds are available
           with civil division
                                                Manufactured
                                                   parts
               Manufacturing of various
                                                                Sending manufactured parts
               parts in different sections
                                                                         to sites
                     of workshops




                                                                 Obtaining materials to be
                         Erection work                         used in erection work through
                                                                 procurement organisation




                 Handing over the work
                    to civil division




     Mechanical maintenance of barrages

                                                                Obtaining materials and
               Identifying damaged
                                                               machinery for maintenance,
            components for replacement
                                                                 through procurement
                 and maintenance
                                                                     organisation




             Repairing of regulator gates                      Obtaining approval from civil
               of barrages, dams and                               division for closure,
               canals, as per schedule                                  if required




                                                                                                            C-39
UPID MIS Study                                           Version 1.0                          Process Flow Diagram

                                                Dam Safety Monitoring




         Preparation of pre-monsoon and post-
        monsoon inspection report for each dam                                                Documentation
                   by field engineers

                                  Periodical inspection reports
                                  along with checklists



       Preparation of consolidated Health Status                                                         Preparation
        Report by Dam Safety Cell based upon                                                             of Dam Data
             periodical inspection reports                                                                   Book

                                  Health Status Report


                                                                                                         Maintenance
          Inspection of dams by officers of Dam                                                           of project
          Safety Cell to identify distressed dams                                                        completion
                                                                                                            report
                                  Inspection reports


                                                                                                         Maintenance
        Preparation of Health Status Report and                                                          of operation
       annual consolidated report by Dam Safety                                                               &
                         Cell                                                                            maintenance
                                  Health Status Reports of
                                                                                                         manual for
                                  distressed dams                                                            dam

                                                                                               These documents are referred at various
          Dam Safety Review Panel/Dam Safety                                                   stages during monitoring of Dam safety
                  Review Committee


  Requests for   Reports                               Data       Requests for


                                Recommends


                                                                                        Consolidated health status
          Further                     Investigation/                                    report
         inspection                       Study




                           Remedial                                       CWC performs review of
                           measure                                         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             E-in-C Office: recieve reports,             Sending selected reports to
  Budgeting, Stores, Financial              organise meetings and monitor               state goverment and state
        Accounting etc.                         and evaluate progress                      planning institution
                                  Reports



                                                 E-in-C Office: resolve
                                            bottlenecks and issue directives
                                                  for follow-up action




                                                                                                                 C-41

								
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