GUIDELINESFOR

SUBMISSION, APPRAISALAND

CLEARANCE OF IRRIGATIONAND

MULTIPURPOSE PROJECTS

1989

CENTRAL WATER COMMISSIONMINISTRY OF WATER RESOURCES

GUIDELINESFOR

SUBMISSION}APPRAISAL &: CLEARANCE

OF·

IRRIGATION AND MULTIPURPOSE PROJFI;TS

Major Projects

Part-A Procedure in respect of States whereCentral Design and Planning Organisationsare existing

Part-B. Procedure in respect of States whereCentral Design and Planning Organi-sationsare not existing

Part-A Procedure in respect of States whereCentral Design and Planning Organisa-tions are existing

Part-B Procedure in respect of States whereCentral Design and Planning Organisa-tions are not existing

Annexure I Recommendations of National Confere- 9nce of Irrigation & Water ResourcesMinisters

Annexure II Sample letter of clearance of major/ 10medium irrigation projects by theCentral Design Organisation of theState Govt.

Annexure III Flow chart for ex~ination of major 12irrigation projects at the Centre

Annexure IV Flow Chart for ex~ination of medium 13irrigation projects at the Centre.

1.1 The existing procedure for scrutiny and examination ofirrigation, multipurpose projects by CWC and their acceptance by PlanningCommission for inclusion in the State's development plans came up fordiscussions in the National Conference of Irrigation and Water ResourcesMinisters held in July, 1986.

1.2 The recommendation's of the National Conference of Irrigation andWater Resources Minister (Annexure 1) were again discussed in a meeting ofthe State Secretaries of Irrigation held by Union Secretary of WaterResources in September, 1986. Having regard to the views expressed' byrepresentatives of a number of States, it was felt that there was need forabridgement of the extent and detailed nature of the scrutiny by the CWCand other Central agencies. To examine this issue, the Ministry of WaterResources set up a Group with Chairman, CWC, as its Chairman andrepresentatives from Planning Commission, Ministry of Water Resources andvarious State Governments as its Members.'

1.3 The Group set up by the Ministry of Water Resources heldseveral meetings and finalised its report on abridgement of scope of projectscrutiny which was forwarded to the Ministry of water Resources in June,1987. ~, .

1. 4 , The report on IIAbridgement of scope of project scrutiny in CWCIIsubmitted by the Group was discussed in a me,eting taken, by Secretary,Ministry of Water Resources on 25th November, 1987, which was attended bythe Chairman, ewc and concerned officers of the Ministry of WaterResources, Planning Commission and ewc. During this meeting it was decidedthat keeping, in view the recommendations of the Group as well as theNational Conference of Irrigation and Water Resources Ministers. Theguidelines indicating the procedure for submission, appraisal and clearanceof irrigation and multipurpose projects should be prepared by the ProjectAppraisal Organisation of CWC.

1.5 This document' has accordingly been prepared indicating theprocedures to be adopted for proce'ssing ,of major, medium and revisedproject estimates. Separate guidelines have been given for the projectsrecei ved from the States where Central Design and Planning Organisationshave already . been established' and from those States where suchorganisations have not yet been established. Keeping in view therecommendations of the Irrigation Ministers and the Group, major part ofthe technical examination of' the projects has been entrusted to the StateGovernments which have -developed their Central Design Organisations. Wher~the design organisations have not -been' established the procedure has beenstreamlined to avoid delay in appraisal and clearance of the projects.

1.6 The procedure for submission, appraisal and clearance outlinedin these guidelines shall be followed by the State Governments withimmediate effect.

PROCEDUR~IN RESPECTOF STATESWHERECENTRALDESIGNANDPLANNING"ORGANISATIONARE EXISTING

2.11 All major irrigationand multipurpose projects shallproject reports prepared inGovernment of India, MinistryResources) 1980, as amended from

projects (CCA more than 10 thousand ha)be investigated in full details and detailedaccordance with guidelines issued byof Irrigation (now Ministry of Watertime to time.

2.12 The basic Planning and hydrological studies relating to wateravailability design flood and sedimentation shall be carried out by therespective specialised units established in the State Irrigation/WaterResources Department.Thes~ stuciie.s shall be vetted by the Central WaterCommission so as to avoid as major change in the project features at alater date.

2.13Groundduringreport.

State Agriculture, Planning,Water, Tribal Welfare and alliedthe investigation, formulation and

Revenue, Environment, Forest,departments will be associatedpreparation of detailed project

2.14 Detailed project report prepared by the field units shall besubmitted to the Central Design and Planning Organisation of the StateGovernment for technical examination and scrutiny in its various specialisedunits.

2.15 The technical examination and scrutiny by the State CDO willcover all the items of the check list given in Section I, Volume II of thegUidelines issued by Government of India (1980).

2.16 Based. on the" technical examination and scrutiny in thespecialised units of CDO, the detailed project report will beamended/modified wherever necessary and the cost estimates finalised.

2.17 The B.C. Ratio and I.R.R. shall be worked out as perguidelines to establish the economic viability of the project. TheEnvironmental Cost, to the extent it is chargeable to the project, shouldalso be taken into account while working out the B.C. Ratio and I.R.R.

2.18 The concurrence of the State Planning and Finance Departmentsshall be obtained for the project estimate finalised after scrutiny byCDO.

2.19 The project shall also be discussed and cleared by State levelProject Appraisal and Environment Appraisal Committees, wherever theyexist, comprlslng of Irrigation, Agriculture, Ground Water, Revenue andFinance, Fisheries, Forest, Soil Conservation Tribal welfare etc.

2.21 Where the project reports have been examined and cleared byCentral Design Organisation and State level Appraisal Committees.examination of the project by CWCwill be restricted to inter-state aspects.hydrology and dam safety. water availability. water accounting and economicviability. Supplementary report covering the above aspects in 10 copiesalong with two sets of detailed project report shall be sent by the StateGovernment along with letter of clearance (vide Annexure-II) to CWC forfurther processing.

2.22 Central Water Commission will send copies of the project reportsand relevant proforma- to the Ministry of Environment and Forest. Howeverthe state Govt. will directly correspond with the Ministry of Environment &Forest for obtaining clearance from the Environment and forest angle.

2.23 All projects in the Ganga-Brahmaputra-Meghna and Indus basinswould be examined from International angle and cleared in the Ministry ofWater Resources. The State Govts. which have borders with neighbouringcountries should in particular keeps this in view while considering anyproject close to International borders right from the initial stage ofinvestigation and planning. This applies to major as well as mediumprojects and also irrespective of the fact whether a Central Design andPlanning Organisation exists or not in the State.

2.24 The scrutiny of the projects at CWC shall be completed in 7months where the inter-State aspects have been resolved and hydrology andeconomic viability of the project is found acceptable.

2.25 In case of projects where certain observations and comments onthese issues are made. the processing shall be -completed in a period of 14months as per the flow chart enclosecl vide Annexure-III.

2.26 For the projects where these issues have remained unsettledeven after 14 months. the project shall be returned to the State Governmentfor carrying out necessary modifications after the issues are settled and forresubmission of the project with updated cost estimates. Such projects willbe processed by CWCas new projects.

2.30 Consideration by Advisory Committee of Ministry of WaterResoeurces.

2.31 After the appraisal of the project at Centre is completed. anote shall be prepared by Project Appraisal Organisation of CWCand put upto the Advisory Committee for its consideration and recommendation to thePlanning Commission.

2.32 The State Engineers of the level of Chief Engtneers/Superintending Engineer associated with the project formulation/design willbe invited to attend the Advisory Committee meeting so as to furnishinformation/clarifications if any sought by the Members of the AdvisoryCommittee.

2.33 The projects founds acceptable by the Advisory Committee shallbe recommended for approval by the Planning Commission and inclusion inthe Five Year Planl Annual Plan.

PROCEDUREIN RESPECTOF STATESWHERECENTRALDESIGNANDPLANNINGORGANISATIONSARE NOTEXISTING

2.40 All major irrigation projects (CCAand multipurpose projects shall be investigatedproject reports prepared in accordance withGovernment of India, Ministry of Irrigation. Now1980, as amended from time to time.

more than 10 thousand ha)in full details and detailedthe guidelines issued by

Ministry of Water Resources

2~41 The basic planni~g and hydrological studies relating to wateravailability design flood and sedimentation shall be carried out by theState Irrigation Department under the guidance of Central Water Commissionbefore the finalisation of project features and preparation of detailedproject report.

2.42 State Agriculture, Planning, Revenue, Forest, Ground Water andallied departments will be associated during the investigation, formulationand preparation of detailed· project report.

2.43 The detailed project reports prepared by the State IrrigationDepartment shall be submitted to CWCfor technical examination, and scrutinyin its various. speCtalised units.

2.44 Simultaneously the State Govt. will send copies of the projectreports and relevant proforma to the Ministry of Environment and Forestunder intimation to CWC. The concerned officers of the State will corresponddirectly with the Ministry of Environment and Forest for obtaining itsclearance to the project.

2.45 The project· reports received in CWCshall be first examined bythe Screening Committee of the Project Appraisal Organisation to see whetherall basic surveys and investigations have been completed and hydrologicalstudies are based on rational data and duly vetted by CWC. Projects whichare found acceptable shall be taken up for further· examination byspecialised units. The projects which are found lacking in the basicsurveys, investigations and essential data, shall be returned to the StateGovt. for carrying out proper investigations.

2.46 The scrutiny of the projects at Centre shall be carried outaccording to the flow chart enclosed vide Annexure and will be completedin 14 months after the receipt of the project.

2.47 For the projects where the main issues have remained unsettledeven, after 14 months the projects shall be returned to the State Governmentfor carrying out necessary modifications keeping in view the observationsmade by CWCand other Central Agencies. Such projects shall be resu bmittedby the Stae Governments with updated cost estimates for processing atCentre as new Project.

2.48 After the appraisal of the project by CWC is completed, a noteshall be prepared by the Project Appraisal Organisation of CWC and put upto the Advisory Committee for its consideration and recommendation to thePlanning Commission. Simultaneously the State G~)Vt. will be requested toobtain the concurrance of State Planning and State Finance Departments forthe Project· estimate finalised and submit the same to the PlanningCommission.

2.49 The State engineers of theEngineers/Superintending Engineer associated withwill be invi ted to attend the Advisory Committeeinformation/clarifications sought by the Members of

level of Chiefthe project formulationmeeting so as to furnishthe Advisory Committee.

PROCEDUREIN RESPECT OF STATES WHERECENTRALDESIGN ANDPLANNINGORGANISATIONSARE EXISTING

3.10 All medium projects (CCA 2000 to 10,000 ha.) shall be·investigated and detailed project reports prepared in accordance with theguidelines issued by the Government of India.

3.11 The basic planning and hydrological studies relating to wateravailability, design flood and sedimentation shall be carried out by theState Government in consultation with the CWC.

3.12 For technical examination of such projects a proforma reportwill be prepared giving the salient features/notes in basic planning, inter-State aspects, hydrology, irrigation, storage planning, spillway capacity,rates of important items, abstract of cost estimates, benefit cost ratio andfinancial return statement.

3.13 These proforma reports shall be submitted to the Central Designand Planning Organisation of the State Government for technical 'examinationin its specialised units.

3.14 The technical examination and scrutiny by the State COO willcover all the technical aspects and the project shall be modified wherevernecessary after appraisal and the cost estimates finalised.

3.15 In case where clearance from Forest Conservation Act 1980 isrequil:ed the State Government will take up this matter simultaneously withthe concerned authorities and submit the clearance to CWC. Where theclearance from the environment angle is required, the State Govt. willpursue and obtain such clearance by approaching the concerned Departmentdirectly.

3.16 The medium projects which are found to be techno-economicallyfeasible by COO shall be sent to the regional office of CWC for scrutinywith regard to water availability and inter-State aspects.

3.17 The projects will be examined by the regional office and a notewill be sent to the Project Appraisal Organisation for consideration of theAdvisory Committee of the Ministry of Water Resources.

3.18 In case of projects where the water availability and inter-Stateaspects are not found to be acceptable, efforts will be. made . to get themsettled within a period of 7 months. In' case these issues are not resolvedwithin this period the project shall be returned to the State Government forresubmission after the issues are sorted out.

PROCEDUREIN RESPECT OF STATES WHERECENTRALDESIGN ANDPLANNINGORGANISATIONSARE NOT EXISTING

3.20 All medium projects (CCA 2000 to 10,000 ha.) shall beinvestigated and detailed project reports prepared in accordance with theguidelines issued by the Government of India.

3.21 The basic planning and hydrological studies relating to wateradvailability, design flood and sedimentation- shall be carried out by theState Government in consultation with the ewe,

3.22 For technical examination of such projects proforma report willbe prepaed giving_the salient features, notes on basic planning, inter-Stateaspects, hydrology, irrigation, storage planning. spillway capacity. rates ofimportant items, abstract of cost estimates, benefit cost ratio and financialreturn statement.

3.23 These proforma reports shall be submitted to the regional officeof ewc for technical examination.

3.24 The technical examination and scrutiny shall be carried outaccording to the flow chart vide Annexure IV and will be completed in 7months.

3.25 In cases where clearance from Forest Conservation Act 1980 isrequired the State Government will take up this matter simultaneously withthe concerned Authorities and submit the Clearance to CWC. Where theclearance from the environment angle is required, the State Govt. willpursue and obtain such clearance by approaching. the concerned departmentsdirectly.

3.26 After the completion of the technical examination and finalisationof the cost estimate the note for Advisory Committee will be· prepared. Theproject authorities will be requested . to obtain the concurrance of StatePlanning and State Finance Department to the project estimate· and submit thesame to the Planning Commission.

3.27 The Advisory Committee of the Ministry of Water Resources willconsider the· .project. for recommendation to the Planning Commission forapproval and inclusion in the five year plans.

4.10 In case of major and medium projects which have been approvedby the Planning Commission and where the revised estimates of the projecthave increased by more than 15% of the original estimates. excludingescalation due to Price-rise. or where there is change in scope i.e. changein project parameters resulting in change in nature and benefits such asCCA. installed capacity. energy generation etc. will be required to befurnished toCWC for examination in the same way as new major and mediumschemes and the procedure for scrutiny for such revised project estimatesshall lie same as outlined in the precedin~ chapters.

4.11 In respect of revised project estimates where is no change inthe scope and where the cost excluding escalation due to price rise has notchanged by more than 15%, the State Government need not forward a detailedestimate for examination at Centre. For such projects the State Goyernmentshould sent to CWC an excess note after obtaining the concurrence of theState Finance Department giving the .abstract of cost under major sub headindicating the excess cost over the sanctioned cost and giving ·reasonsthereof. The note will· include the salient features of the project asoriginally proposed and as being executed at site. The ewc will examinesuch estimates broadly and send its views to the Advisory Committee forconsideration and recommendation of the Planning Commission.

4.12 In so far as preparation of cost estimates is concerned theestimates may be framed on the basis of local schedule of rates for itemscovered by. the schedule and for others an analysis of rates will beprepared as· per the guidelines issued by CWCand in. case of aJlY Aoubt onthe viability oLrates of any items a certificate of the State/Project ChiefEngineer on the. reasonability of the rates shall be taken as {tnal andacceptable.

4.13 The rate of escalation due to price rise shall be based on thestudies made by the Construction Planning and Management Unit of cwe fromyear to year.

EXTRACT OF ·SUMMARY R:EX:;ORDOF NATIONAL CONFERENCE OFIRRIGATIOO AND WATER RESOURCES MINISTERS OF STATESAND UNION TERRITORIES HELD IN NEW DELHI, JULY 86D

The Conference felt that improvement in project preparation atthe State level would be an essential step to reduce the time taken for thetechno-economic examination of projects at the Centre. For speedy clearanceit recommended the following steps:

The projects should not be sent to the Centre for techno-economic examination unless these have been thoroughly andcomprehensively prepared on an integrated basis by a multi-disciplinary Cell in conformity with the guidelines laid downfor the purpose.

The Stateexaminationdiscussions.

Governmentof projects

should indicatein CWC at the

theirtime

prioritiesof Annual

forPlan

Medium irrigation projects should be examined in the State I sDesign Organisations wherever existing and only thereafter thesemay be sent to the Central Water Commission for informationwith regard to water accounting. Where state designorganisations do not exist the present' procedure will continue.Inter-State aspects of medium proje'cts are, however, required tobe cleared by the Centre.

In case there is a Central Design Organisation in the StateIrrigation Department and the major projects are examined insuch organisation before these are sent to the ewc, theexamination of such projects in the Central Water' Commissionmay be restricted to the ~crutiny of interstate aspects,hydrology, water accounting and economic viability. In casethere is no Central Design Organisation in the State IrrigationDepartment, the major project ,reportswiHcontinbe to be examinedin the Central Water Commission as' per existing procedure.

Central agencies in turn should review the procedures fortechno-economic and other scrutinies in consultation with theStates and Union Territories and try to ensure that examinationby diverse agencies run parallel and not in sequence and arecomp~ted within prescribed time-limits.

The Chief EngineerProject Appraisal Organisation,Central Water Commission,Sewa Bhawan, R.K. Puram,New Delhi - 110066.

ClearanceIrriga tion /Multi purpose Proj ect •

The above project has been examined inOrganisation with reference to the Check (list aspreparation of DPR) (1980) and it is found that :

theper

Central Designguidelines for

All necessary surveys and investigations for planning of theproject and establishing its techno-economic feasibility havebeen carried out as per the guidelines issued by Govt. ofIndia.

10% of the command area of the project or 5000 ha. whicheveris minimum has beep investigated in full details in threepatches representing terrain conditions in the command forestimation of the conveyance system upto the last farm Kates.

(iii) 10% of the Canal Structures have· been investigated in fulldetail.

Detailed Hydrological, geological,investigations, have been carried outi.e. dams, weirs, main canal, branchcarrying a discharge of 10 cumecs.

construction materialfor all major structurescanal upto distributaries

Soil survey of the command has been carried out in detail asper IS 5510-1969.

Necessary designs for the various components of the projecthave been done in accordance with the guidelines and relevantIndian standards.

Necessary studies for utilisation of ground water have beeri donewith special regard to problem of water logging and suitableprovisions have been made for conjunctive use of ground water& drainage arrangements ~

The cropping pattern has been adopted in gonsultation with theState Agriculture Department and are based· on soil surveys ofthe command keeping in view the national policy in respect ofencouraging crops for producing oilseeds and pulses.

The cost estimates & economic evaluations are carried out as perguidelines issued by the Central Water Commission.

The project has also been examined by the State level ProjectAppraisal Committee comprising representati ve of Irrigation, Agricul ture ,Fisheries, forests, Soil Conservation, Ground Water, Revenue and FinanceDeptt. etc. and the techno-economic feasibility of the project has beenesta blished.

3 • The project is recommended - for clearance by Centre andapproved by Planning Commission.

Chief Engineer,Central Designs Organisation,Irrigation Department.Govt. of

FLOW CHART FOR EXAMINATION OF MAJOR IRRIGATIONPROJECT AT THE CENTRE

Preliminary Examination in the ProjectAppraisal Directorate and Circulation toappraisal agencies.

- (2 nx>nths)I

Examination in the variou~ spec ialised Forwarding ReportDirect'orates of GW:;. Ministry of Water to the MinistryResources and Ministry of Agriculture and of Environment &transrrdssion of first set of comments to State. Forests

(2 nx>nths)I

Suhnission of State's replies to Comments Clearance to beraised by the Appraisal Agencies. obtained from the

Ministry of Envi-(3 nx>nths) ronment & Forests

Iby the StateGovt. and comrnuni-

Examination of State replil:!sand transrnission cated to CWC.of Second set of Comments to the State.

(2 months)I

Suhnission of State's final replies to secondset of comments to GW:;.

(2 months)

I .

Examination of State's final replies anddiscussion with the project Engineers for

.finalisation in the GW:; •(2 months)

IPreparation cf Note by the Project AppraisalDirectorate for the Advisory Cannittee.

(1 month)

FLOW CHART FOR EXAMINATION OF MEDIUMIRRIGATInN PROJECTS AT THE CENTRE

Examina tion in Regional Office of cwe and transmission ofcomments to the State.

-

(2 months)

Submission of State replies to the comments.

(3 months)

Examination of the State I s replies and discussions with theproject engineers for finalisation in CWC

(l month)

Preparation of note for the Advisory Committee of PlanningCommission.

(l month)

· .

Designed .& Printed. at Publication·· Division ofCentral Water Commission,· Rama Krishna--Puram,New Delhi - 110 06·6. Publication No. 8/96'-