Toggle contrast  | A+ | A | A-
logo
FMP Guidelines
REVISED GUIDELINES FOR PROVIDING CENTRAL ASSISTANCE TO STATE GOVERNMENTS FOR FLOOD CONTROL AND RIVER MANAGEMENT WORKS UNDER FLOOD MANAGEMENT PROGRAMME - A STATE SECTOR SCHEME (2012-17).
  • BACKGROUND
    • Devastation by floods is a recurrent annual phenomenon in India. Almost every year, some or the other part of the country is affected by floods. Floods cause enormous damage to life, public property and disruptions to infrastructure besides psychological and emotional instability amongst the people.
    • Many areas of the country are very vulnerable to floods and there is a great risk of damage to national assets like highways, roads, railway tracks, etc. apart from damages to life and property. These aspects will be given due consideration and addressed appropriately while considering the proposals for central assistance to the state governments.
    • During X Plan, following four schemes were sanctioned to provide central assistance to the flood prone states to take up flood control and river management works in critical areas:
      (a) Critical Anti-erosion works in Ganga Basin States(a Centrally Sponsored Scheme),
      (b) Critical Flood Control and Anti Erosion Schemes in Brahmaputra and Barak Valley States (a State Sector Scheme)
      (c) Improvement of Drainage in critical areas in the country (a State Sector Scheme) and
      (d) Critical Anti-erosion Works in Coastal and other than Ganga Basin States (a State Sector Scheme). The above schemes have been merged together and a restructured scheme, namely, “Flood Management Programme” under State Sector in Central Plan has been approved in-principle, for XI Plan period.
    • During XI plan, the above four schemes operated during X Plan were merged together and a restructed scheme, namely "Flood Management Programme" under State Sector in Central Plan was approved 'in-principle' by the Cabinet in its meeting held on 02-11-2007. Based on the approval of the cabinet, the sanction of the Flood Management Programme during XI Plan was conveyed vide MoWR Order No.5/3/2012-Ganga/P- III/3868-3928 dated 31st October, 2013(Appendix-1).
      During XI Plan, the central assistance was provided to the State Governments for undertaking critical works related to river management, flood control, anti-erosion, drainage development, anti-sea erosion, flood proofing, flood prone area development programme in critical regions, restoration of damaged flood control/management works and anti-sea erosion works.
    • Funding pattern during XI Plan was 75(Centre):25(State) for General/Non-Special Category States and 90(Centre):10(State) for Special Category States.
    • The Special Category States cover the North Eastern States, Sikkim, Himachal Pradesh, Jammu & Kashmir and Uttarakhand.
    • The Ministry of Water Resources issued first set of guidelines on Flood Management Programme during XI Plan in December, 2007 and revised guidlines on FMP during XI Plan were issued with the approval of Secretary(WR) in August, 2009.
    • In view of the demand by States for completion of ongoing and new critical works of flood management, the XII Plan Working Group on 'Flood Management and Region Specific Issues' set up by the Planning Commission recommended continuation of Flood Management Programme during XII Plan. Accordingly, the Ministry of Water Resource, in wider consultations with the States, Planning Commission, Ministry of Financd, NDMA, M/o Environment & Forest and M/o Rural Development, formulated the proposal for continuation of Flood Management Programme during XII Plan with outlay of Rs.10,000 crore.
    • The scheme of Flood Management Programme during XII Plan was appraised by Expenditure Finance Committee(EFC) headed by Secretary(Exp.), Ministry of Finance in its meeting held on 08-03-2013 and it reommended continuation of Flood Management Programme during XII Plan with an outlay of Rs.10,000 crore for approval of the Cabinet.
    • The Committee of Secretaries also recommended continuation of Flood Management Programme during XII Plan with outlay of Rs.10,000 crore in the meeting held on 30-07-2013.
    • The Cabinet in its meeting held on 17-10-2013 accorded approval to the continuation of Flood Management Programme for providing central assistance to the extent of Rs.10,000 crore to the State Governments during XII Plan.
    • In view of many changes in scope, eligibility criteria, funding pattern and procedure for approval and release of funds during XII Plan, the earlier guidlines are modified and the present guidlines for Flood Management during XII Plan are circulated for reference.
  • SCOPE OF SCHEME
    • Under “Flood Management Programme”, critical flood control, river management and anti-sea erosion works in the entire country would be covered. These works would include the works related to river management, flood control, anti-erosion, drainage development, flood proofing, flood prone area development programme in critical regions, restoration of flood control/management works damaged due to force majeure like conditions, anti-sea erosion and catchment area treatment.
    • The spillover of works approved under Flood Management Programme during XI Plan would also be supported under this scheme during XII Plan. The Central Assistance for spillover works shall be released on receipt of the request /proposals from the State Government and completion of all formalities.
    • The central assistance for projects of catchment area treatment will be provided only to such projects which meet the objective of flood management i selected/prioritized catchments having high rate of run-off/erosion ensuring convergence with similiar projects of catchment area treatment/watershed management under MoEF, MNREGA of NoRD and DoLR etc. This will be promotional nature on selective basis.
  • IMPLEMENTATION ARRANGEMENTS
    • The scheme “Flood Management Programme” would be implemented generally by Flood Control/ Water Resources / Irrigation / Public Works Departments of the State Governments. In exceptional and emergent cases, the works could be entrusted to the central government organizations / undertakings, with the approval of Union Minister for Water Resources.
    • Managerial Inputs towards financial management, quality control, physical progress, timely completion of the works, etc. shall be the responsibility of the state governments/ implementing agencies.
    • CWC/GFCC/Brahmaputra Board shall constitute Standing Committees having representative of State Governments and NGOs in the area for joint inspection of arrangements made by the concerned State Goverment for maintenance of critical/major flood protection works in respective jurisdictions. The damaged flood management works in respect of which the State Government has sought central assistance under Flood Management Programme may also be inspected by the above Standing Committee.
  • APPROVAL OF PROJECTS FOR FUNDING UNDER FLOOD MANAGEMENT PROGRAMME
    • The general procedure(s) of techno-economic appraisal as laid down in Planning Commission communication No.16(12)12003-WR dated 29.06.2012 or amendments thereto from time to time, shall be followed for submission and appraisal of all projects to be funded under Flood Management Programme.
    • The proposals, which are appraised by GFCC and CWC and secured all mandatory clearances including clearance from State TAC, State Flood Control Boards(or alternative competent mechanisms put in place for the purpose by those States where TAC/Flood Control Boards do not exist), Forest Clearance, techno-economic viability acceptance of CWC/GFCC/Advisory Committee of MOWR(as applicable), investment clearance from Planning Commission and are compliant to these guidlines would be considered, prioritised and finalized for inclusion under Flood Management Programmee by an Inter-Ministerial Committee(IMC) headed by the Secretary(WR).
  • FUNDING PATTERN AND CRITERIA FOR INCLUSION OF PROJECTS
    • Integrated Flood Management Approach-

      Under the scheme, central assistance to the States would be provided for taking up flood mangement works in an integrated manner covering entire river/tributary or a major segment. In case of emergent situation arising due to high floods, the works in critical reaches would be taken up immediately after flood season.
    • Funding Pattern for Ongoing Projects-

      The funding pattern for ongoing projects approved during XI Plan would remain the same as approved in XI Plan i.e. 75(Centre):25(State) for General/Non-Special Category States and 90(Centre):10(State) for Special Category States.
    • Funding Pattern for New Projects-

      The funding pattern for new projects where Investment Clearance had been accorded by the Planning Commission before 30-07-2013, will be approved during XI Plan for respective category of States i.e. 75(Centre):25(State) for General/Non-Special Category States and 90(Centre):10(State) for Special Category States.
    • New Projects of General/Non-Special Category States-

      The new projects/works of General/Non-Special Category States, other than those covered under clause 5.iii above, within the scope of Flood Management Programme, costing Rs.40 crore and above, having BC Ratio more than 1.0, shall be included for funding under Flood Mangement Programme during XII Plan. The funding pattern for such projects/works of Non-Special Category States will be 50(Centre):50(State).
    • New Projects of Special Category States-

      The new projects/work of Special Category States, other than those covered under clause 5.iii above, within the scope of Flood Mangement Programme, costing Rs.10 crore and above, having BC Ratio more than 1.0, shall be included for funding under Flood Mangement Programme during XII Plan. The funding pattern for such projects/works of Special Category States will be 70(Central):30(State).

    • (The Special Category States cover the North Eastern States, Sikkim, Himachal Pradesh, Jammu & Kashmir and Uttarakhand.)


    • Projects for restoration of earlier damaged flood mangement woeks-

      The Central Assistance to all States would also be provided for restoration of damaged flood management works and funding pattern for such will be applicable to respective category of State. Central Assistance will not be provided for regular maintenance of flood management works but only for restoration of flood management works damaged under force majeure like conditions. It would be ensured that such works are not covered under CRF(SDRF)/NCCF(NDRF).
    • Projects for Catchment Area Treatment-

      The projects for catchment area treatment, as stipulated in the scope of the Flood Management Programme, shall be included for funding under Flood Management Programme during XII Plan. The funding pattern and criteria for such works shall be as applicable to respective category of States and convergence with similiar programmes undertaken under National Mission for Green India and programmes of watershed management would be ensured.
    • The State Governments shall ensure inclusion of the scheme in the State Plan and make requisite budget provision towards Central as well as State share on annual basis.
    • The State Governments which adopt Flood Plain Zoning Bill(circulated by Central Water Commission in 2009), would be given priority over the other States.
    • While submitting a new proposal, the State Governments shall ensure acquistion of land required under the scheme and would submit a certificate to this effect, failing which no funds would be released to the State Governments. For land acquistion, requsite funds would be provided/arranged by the concerned State Governments from their own resources. However, the amount spent on land acquistion would be considered as a part of State's share towards the overall cost of the project and accounted for subsequent releases of central assistance.
    • While submitting a new proposal, the State Government would specify the time frame for completion of the project and funds required on annual basis, which shall be adhered to, by implementing agencies. A detailed statement in Proforma-FMP-1(enclosed) would be furnished by the State Governments with the proposal for central assistance.
    • The State Governments shall ensure that the State has not recieved any financial assistance for the proposed work/scheme in the past, either from the Central government or any other funding agency and would submit a certificate to this effect while sending proposals under FMP.
      However, financial assistance mentioned under this para, shall exclude the cases where repayable loan on commercial terms is arranged by a State from any agency to meet its State Share and to complete the work due to urgency.
    • As the flood management works of critical nature, are expected to be completed in time bound manner, no cost escalation shall be allowed for any work/scheme once it is aprroved under FMP. The approved cost of the scheme mentioned in the Investment Clearance by Planning Commission and approved by the IMC-FMP shall be treated as firm & final for the purpose of central share. If there is any cost escalation, it would be borne by the State Government from its own resources.
      In cases where project completion is delayed due to force majeure, extension may be considered by IMC-FMP on merits on the basis of justification by State, views of appraisal agency and revised investment approval by Planning Commission. In deserving cases, upward revision of cost by not more than 15% of cost of works earlier approved/accepted during appraisal may be approved by IMC-FMP.
    • The State Governments shall ensure that the works are executed in a well planned manner and completed within the scheduled completion period. The progress shall be monitored through CPM/PERT Charts, which shall be submitted within three months of release of first installment of central assistance.
  • RELEASE OF CENTRAL ASSISTANCE
    • The Central assistance for all projects shall be released in two instalments in a financial year.
    • Release of First Installment:

      For projects recieving assistance upto 50% of project cost, the first instalment of central share in a financial year equal to 90% of central share provided in the Annual State Budget, shall be released after submission of a certificate, duly signed by the concerned Principle Secretary to the effect that the State has released at least 50% of its State Share to the project as provided in the Annual State Budget.
    • For projects receiving assistance higher than 50%, the first installment of central share in a financial year equal to 50% of central share provided in the Annual State Budget shall be released after submission of a certificate, duly signed by the concerned Principle Secretary to the effect that the State has released full State Share to the project as provided in the Annual State Budget.
    • Release of Second/Subsequent Installment(s):

      In the Same Financial Year-

      Balance/Second instalment of GOI share in the same financial year shall be released on submission of (i) Utilisation Certificate in GFR-19 (A) (Format enclosed) for utilization of 50% of Central Share released earlier in the same financial year, (ii) due recommendations of the Monitoring Agency based on the monitoring report, (iii) corresponding budget provision made by the State both in respect of the central share as well as the matching state share and (iv) submission of certificate, duly signed by the concerned Principle Secretary that the State has released its full State Share to the project, provided in the Annual State Budget.

      In the Next/Subsequent Financial Year-

      Next year instalment of GOI share in the next financial year shall be released on submission of (i) Utilization Certificate in GFR-19 (A) (Format enclosed) for utilization of full Central Share released earlier, (ii) due recommendations of the Monitoring Agency based on the monitoring report, (iii) corresponding budget provision made by the State both in respect of the central share as well as the matching state share and (iv) submission of certificate, duly signed by the concerned Principle Secretary that the State has released its State Share to the project, provided in the Annual State Budget.
  • REIMBURSEMENT OF EXPENDITURE
    • The central assistant towards the expenditure incurred by the State Governments on a scheme in the previous financial year(s) before its approval by the IMC-FMP would not be entertained. However, actual expenditure incurred by the State Governments from their own resources in the financial year(in which the scheme is approved by the IMC-FMP or in a year after the approval of project by IMC-FMP under FMP) would be reimbursed, in such cases, requirement budget provision in the year of reimbursement may not be necessary.
    • In case of a claim of reimbursement, a certificate towards actual expenditure incurred will be submitted by the State Government duly countersigned by Principle Secretary of concerned department(Water Resources/Irrigation/Public Works Department).
    • If the project authority fails to adhere to the completion schedule(as indicated in FMP-I) or the extension granted by IMC-FMP and is undue to complete the project in scheduled time, further central assistance after the scheduled completion period(from next financial year) shall note be released to the State Governments and the State shall bear the remaining cost of the project from its own resources.
    • If the project authority fails to adhere to the completion schedule due to non-release of central assistance in the planned time for any reason, the state government may revise the construction schedule after receipt of the first instalment and intimate to the Ministry of Water Resources for record in performa(FMP-1), in order to avoid attracting the provision of Para 7.v.
    • However, any revision of cost of project or its schedule of construction required to address the flood problem/erosion/bank failure subsequent to preparation of DPR, would be considered by IMC-FMP on merits on the basis of justification by State, views of appraisal agency and revised investment approval by Planning Commission.
    • The Uitilization Certificate in FORM GFR-19A(enclosed) shall be issued by the concerned Chief Engineer and the financial authority, and countersigned by the concerned Secretary of the implementing department/Finance Secretary of the state government. In case of work being implemented by the Central Government Organizations/Undertakings, the uitilization certificate may be countersigned by the Head of organization/undertakings.
    • Release of central assistance would be based on the recommendations of the Monitoring Agencies as specified in the subsequent paragraphs. The Monitoring Agencies would inspect the works, at least once in every financial year, to monitor overall quality of works, technical specification and progress at site before recommending furthur releases. If the Monitoring Agencies are unable to complete the second visit before the end of financial year, subsequent instalments in the next financial year would not be held up on account of non-completion of second field visits by the monitoring teams and in such cases, the 1st instalment in the next financial year will be released on receipt of (i) uitilization certificate in GFR-19A of the earlier release(s) including matching state share, (ii) due recommendations of the Monitoring Agency based on physical and financial progress of the work submitted in the prescribed format viz. FMP-2 & 3 duly certified by the concerned Chief Engineer from the State, (iii) annual budget provision made by the State and (iv) submission of certificate, duly signed by the concerned Principle Secretary that the State has released its full State Share, provided in the Annual State Budget, to the project.
    • States would be required to submit audited statements of expenditure incurred on the works executed with central assiatance under the scheme within nine months of the completion of the financial year. The releases of central assistance in the following year will not be considered if an audited statement of expenditure is not furnished within stipulated period.
  • ENSURING REGULAR MAINTENANCE OF FLOOD PROTECTION WORKS
    • The State Governments shall undertake regular maintenance of flood protection works before and after each monsoon and even during execution of works.
  • MONITORING MECHANISM
    • Monitoring of the schemes under the Flood Management Programme, will be carried out by the Central Water Commission(CWC), Ganga Flood Control Commission (GFCC) and Brahmaputra Board(BB) in their respective jurisdiction.
    • The above central organizations would play an active role at formulation stage of the proposals for flood management work by the state governments in their respective jurisdiction and provide necessary guidance in preparation/submission of the proposals in time for appraisal and release of central assistance.
    • The monitoring teams of(CWC/GFCC/Brahmaputra Board) would monitor the physical and financial progress of the schemes. They would conduct sample checks on the quality of construction materials like bricks, stones, geo-textiles, compaction of soil etc. and quality of works in general during the field visits. The samples taken/witnessed at site by the teams would be got tested for quality checks and results thereof would be reflected in the monitoring reports.
    • Release of central assistance would be recommended by the Ministry of Water Resources, GOI to the Ministry of Finance based on the recommendations of CWC/GFCC/Brahmaputra Board submitted in the prescribed format viz. FMP-4
  • EVALUATION STUDIES
    • The State Governments would commission concurrent evaluation studies for the projects during their execution through reputed independent organization(s) (not under the administrator control of Ministry of Water Resources, Government of India or under the Irrigation/Water Resources Department of the state government). The aspects to be addressed in the report of concurrent evaluation are enclosed. A reasonal provision for likely charges for concurrent evaluation shall be kept by the States in the cost estimates of the project/works.
    • The State Governments would also commission through IITs the performance evaluation of completed works/projects with regard to objectives as defined in the DPRs and cost of such studies shall be borne by States.
  • COMPLETION REPORTS AND CONSOLIDATED UTILISATION STATEMENT
    • On completion of works/projects, the State Government shall, in respect of each work/project funnded under Flood Management Programme, submit a completion report along with a consolidated Utilisation Statement giving a brief account of works approved, works actually carried out, Total expenditure on the project, Centre Share released(with reference number of release order), Central Share utilized(giving details of UCs submitted), State Share spent and reasons for delay, if any.
  • DOCUMENTS AND FORMATS
    The list of important documents to be submitted with the proposals is given below and related standard formats to be followed are enclosed as indicated:-
    • Documents required for initial inclusion of project for funding under FMP
      • Request of State in FMP-1 Proforma, duly signed by concerned Principle Secretary(Format at Annex-1).
      • Clearance of State TAC(or the alternate technical mechanism in place).
      • Clearance of State Flood Control Board, (applicable for projects costing more than Rs.30 crore, if it does not exist, the clearance of alternative mechanism put in place).
      • Forest Clearance.
      • Certificate duly signed by concerned CE of State Government, that land required for the project is Government land or if private land, the same has been acquired and is in possession of the State Government and the land is free from any encumbrances.
      • Certificate duly signed by concerned CE of State Government, that the project has not received any financial assistance in the past from any agency of Government of India. (In case, the Government has availed or proposes to avail any commercial repayable loans for executing the works, brief details of such loans may be provided)
      • Certificate duly signed by concerned CE of State Government, that the cost of the project is firm and final and any escalation in cost of the Project, would be borne by the State Government.
      • techno-economic viability acceptance of the DPR for the Project by CWC/GFCC/Advisory Committee of MOWR(as applicable).
      • Investment Clearance accorded by Planning Commission.
      • Assurance by State Finance Department that requisite funds would be provided by States as per envisaged phasing of expenditure.
      • Any other clearance, if required.
    • Documents required for release of First Installment of central assistance under FMP
      • Approval of IMC-FMP.
      • Recommendation of CWC/GFCC/BrBd in FMP-4 performa(format at Annex-4).
      • State budget allocation, issued by State Finance Department, for the current financial year indicating Project/work-wise details of total provision, central share and state share. In case, the budget allocation made by State Finance Department indicates only consolidated provisions, the Project/work-wise details of total provision, Central Share and State Share, may be certified by the concerned Principle Secretary.
      • A certificate duly signed by the concerned Principle Secretary, that the State has released its full State Share to the project as provided in the Annual State Budget.
      • State-wise annual ceilings fixed by Planning Commission under FMP(to be enclosed by Ganaga Wing, MoWR).
    • Documents required for release of Second/Subsequent Installments of central assistance under FMP
      • Physical and Financial Progress in FMP-2 and FMP-3 Performa respectively duly certified by the concerned CE of the State Government (performa at Annex-2&3).
      • Utilization Certificate in GFR 19 A form duly signed/counter signed by the concerned Principle Secretary(performa at Annex-5).
      • State Budget allocation, issued by the State Finance Department, for the current financial year indicating Project/work-wise details of total provision, central share and state share. In case, the budget allocation made by State Finance Department indicate only consolidated provisions, the Project/work-wise details of total provision, Central Share and State Share, may be certified by the concerned Principle Secretary.
      • A certificate duly signed by the concerned Principle Secretary, that the State has released its full State Share to the project as provided in the Annual State Budget.
      • Recommendation of the Monitoring Agency(CWC/GFCC/BrBd) in FMP-4 enclosing the Monitoring Report and all relevant documents.
      • Report of the concurrent evaluation done by an Independent agency reffered to in clause 9.1 above and prepared in the Board format of Contents listed at Annex-6.
      • Statement of Audited expenditure of Central assistance earlier released and after the period stipulated under Clause 7.viii above.

      Note: The State Government shall submit a CPM-PERT chart for monitoring of physical progress of various activities/components of the project within three months of the release of First installment of central assistance.

Contact us
Office of the Chief Engineer I&FC,
New Capital Complex, Kohima – 797001
Nagaland, India.
Telephone :
0370 - 2270923
Fax :
0370 - 2270923