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Chapter
- 9 (Manual - 8)
Procedure followed in Decision Making
Process
9.1 What is the procedure followed to take a decision for
various matters? (A reference to Secretariat Manual and rule of
Business Manual, and other rules/regulations etc. can be made).
9.2 What are the documented procedures/laid down
procedures/Defined Criteria/Rules to arrive at a particular
decision for important matters? What are different levels
through which a decision process moves?
A. PROJECTS DEPARTMENT
The procedure followed
to take for various matters and documented procedures / laid
down procedures defined criteria, rules to arrive at a
particular decision for important matters and levels through
which decision process moves is detailed as under :
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DECISION |
DECISION MAKING PROCESS |
Under the State Channelising Agency Programme
i) Annual allocations are decided in the beginning of each
financial year in respect of all the SCAs under the Term
Loan Scheme, Micro Financing Scheme, Vocational Training
Scheme, Marketing Exhibition. These allocations are then
communicated to each of the SCAs for implementation during
the course of the year.
ii)The disbursements are made to the respective SCAs after due
appraisal of their request.
iii)One time approval of projects received from the
SCAs with unit cost of more than Rs.50,000/-.
iv)Sanction of proposals received from the respective
SCAs under the Vocational Training Scheme, Marketing
Scheme and Mahila Samridhi Yojana.
v) Appraisal of request for release of advance payment and
final payment against the sanction accorded under the
Vocational Training Scheme, Marketing Scheme and Mahila
Samridhi Yojana.
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Initially, proposals regarding annual allocations are
received from the SCAs. The proposals are processed at the
level of respective Deputy Manager (Projects) and are
scrutinised by Sr.Manager (Projects) and General Manager
(Projects.) Tentative allocations are conceptualised at
the level of Managing Director. A meeting with the SCAs is
held to deliberate and decide the final allocations
subject to approval of the Board. The matter is placed
before the Board and as per the Board’s decision, final
allocations are communicated to each SCA in the form of
Letter of Intent.
Reqests are recieved from the SCAs from time to time for
drawal of funds. Such requests are processed at the level
of Deputy Managers and further scrutinised by Sr.Manager
(Projects) and General Manager (Projects). The
disbursements are made with the approval of Managing
Director. Disbursements made are brought to the knowledge
of the Board in its subsequent meeting.
The projects with unit cost more than Rs.50,000/- are
posed by the SCAs for appraisal of NMDFC. These proposals
are initially appraised at the level of Deputy Managers
and further scrutinised at the level of Sr.Manager
(Projects). General Manager (Projects) put up the same to
M.D. with his recommendations. The decision is
communicated to the SCAs with the approval of Managing
Director. Proposals relating to computers and allied
projects are got vetted from Sr.System Analyst too.
The proposals received from the SCAs are initially
appraised at the level of Deputy Manager (Projects). The
appraisal is further scrutinised by Sr.Manager (Projects)
and General Manager (Projects) and the decision is
communicated to the SCAs with the approval of Managing
Director. Vocational training proposals of computers and
allied trades are got vetted from Sr. Systems Analyst.
Requests for drawl of funds against the sanctions are
received from the SCAs. The same are processed at the
level of Deputy Manager (Projects) and scrutinised at the
level of Sr.Manager (Projects) and General Manager
(Projects) The payment is released with the approval of
Managing Director.
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Under the NGO Programme
i) Selection/Rejection of proposals of NGOs for
Micro-credit and Interest Free Loan, based on desk
scrutiny.
ii) Sanction of credit limit to NGOs for Micro Credit and Interest Free
Loan.
iii)Release of 1st instalment of funds against the
sanction.
iv) Release of 2nd instalment against the sanction.
v) Sanction of proposals submitted under the Mahila
Samridhi Yojana and Marketing Exhibitions Scheme.
vi)Release of 1st instalment of funds against the
sanctions accorded under the Mahila Samridhi Yojana and
Marketing Scheme.
vii)Release of 2nd/subsequent instalment.
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The proposals received from the NGOs are assigned for
desk scrutiny from the point of view of their eligibility
by Sr.Manager (Projects) to any one of the Deputy Managers
of Project or Finance Division. Sr.Manager (Projects)
takes decision regarding selection of the proposal for
further processing the same. If not found eligible for
selection, the proposal is rejected at her level.
Pre-sanction field study is carried out in respect of
selected proposal either by the officer of NMDFC or by one
of the nominated monitors of NMDFC as decided by
Sr.Manager (Projects). The pre-sanction study report is
processed at the level of the concerned Deputy Manager of
Projects or Finance Division which is further scrutinised
at the level of Sr.Manager (Projects) and General Manager
(Projects) and sanction is accorded with the approval of
Managing Director.
NGOs make request for release of 1st instalment of funds
against the sanction which is processed at the level of
concerned Deputy Manager. The same is scrutinised at the
level of Sr,Manager (Projects) and General Manager
(Projects) and the funds are released with the approval of
Managing Director.
After utilisation of 1st instalment, NGOs make request for
release of 2nd instalment of funds against the sanction.
Sr.Manager (Projects) assigns monitoring study regarding
utilisation of 1st instalment of funds to an officer of
NMDFC or to any of the nominated monitors of NMDFC. The
monitoring report is processed by the concerned Deputy
Manager and further scrutinised at the level of Sr.Manager
(Projects) and General Manager (Projects). The 2nd
instalment is released with the approval of Managing
Director.
Proposals received from the NGOs are assigned by
Sr.Manager (Projects) for processing to one of the Deputy
Manager of Projects or Finance Division in the light of
guidelines for implementation of Mahila Samridhi Yojana
and Marketing Exhibition. The same is further scrutinised
at the level of Sr.Manager (Projects) and General Manager
(Projects) and sanction is accorded at the level of
Managing Director.
Request for drawal of funds is processed by the concerned
Deputy Manager of Project or Finance Division against the
sanction accorded. The same is scrutinised by Sr.Manager
(Projects) and General Manager (Projects) and the funds
are released with the approval of Managing Director.
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9.3 What are the arrangements to communicate the
decision to the public?
The schemes of NMDFC are implemented through the State
Channelising Agencies (SCA) and the network of NGOs. Thus NMDFC
does not get in direct touch with the beneficiaries. The
decisions taken by NMDFC with regard to scheme implementation
are communicated to the respective SCAs and NGOs from time to
time.
9.4 Who are the officers at various levels whose opinions
are sought for the process of decision making?
All the officers of the project division are involved in
decision making process. The basic appraisal and recommendation
is done at the level of Deputy Managers while it is scrutinised
with comments at the level of Senior Manager & the General
Manager.
9.5 Who is the main authority that wets the decision?
The final decision making rests with the Managing
Director who has the delegated authority by the Board of NMDFC.
9.6 Please provide information separately in the following
format for the important matters on which the decision is taken
by the Public Authority.
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Subject on which the decision is to be taken |
1.Sanction to release funds to SCAs/NGOs for on lending to
the target group.
2.Approval of proposals of vocational training, Marketing
Exhibition, Design Development, etc. |
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Guidelines/Direction, if any |
Proposals received from the SCAs/NGOs are processed on the
file by the respective Deputy Managers, Scrutiny at the
level of Senior Manager & General Manager for approval at
the level of Managing Director. |
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Process of Execution |
Implementation through the State Channelising Agencies and
NGOs.
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Designation of the officers involved in decision making |
Deputy Managers -- Senior Manager-- General Manager –
Managing Director. |
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Contact information of above mentioned officers |
Phone Number- 22441453/55 |
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If not satisfied by the decision, where and how to appeal. |
Managing Director.
By representing through letter |
B. FINANCE DEPARTMENT
9.1 Ultimate decision is taken by M.D. However, in cases
where delegation of power is there, files are directly disposed
off at the level where officer has the delegated power.
Where decision is to be taken by M.D., file is routed in the
following manner:
1. Subordinate staff put up vouchers/records/routine files
relating to accounting/ administration to Dy. Mangers.
2. As per the delegated powers, Dy. Manager (F) dispose of the
files relating to TA/DA, leave to subordinate staff.
3. Dy. Managers put up the files relating to administrative
nature to SM(P&A) who in turn gives/obtain necessary approval.
4. In case of decisions pertaining to NGOs, Dy. Manager (F) put
up the files to SM(P) who in turn give/obtain necessary approval
from General Manager (P)/M.D.
5. In case of files pertaining to other than P&A and NGOs, files
are marked to General Manager (P) who in turn give/obtain
necessary approval.
6. For decision pertaining investment of funds, committee
consisting of Dy. Manager (F) , SCS, General Manager (P),
Managing Director and Chairman has been constituted.
9.2 As above.
b: As and when any information is sought by public from F&A wing
the same is communicated through letters.
9.4 Opinon of SM(P&A), SM(P), SCS, SSA, General Manager
(P) and Managing Director is obtained.
9.5 Managing Director
9.6 N.A.
C. MONITORING CELL
9.1 The EDP Grant-in-Aid proposals received from the
different SCAs of NMDFC are processed and examined jointly by
the Finance Wing and the Monitoring Cell which are scrutanised
by the General Manager (P) and finally approved by the Managing
Director.
All decisions involving a financial implication of less-than Rs.
10,000/- are approved by the Sr. Systems Analyst with due
diligance and observance of codal formalities based on the
recommendations of a Committee. The Committee usually consists
of one officer each from the Projects Wing, Finance Wing and the
Personnel and Administration Wing.
All decisions involving a financial implication of Rs. 10,000/-
or more are recommended by the Sr. Systems Analyst which is
based on the recommendations of a Committee. The Committee
usually consists of one officer each from the Projects Wing,
Finance Wing and the Personnel and Administration Wing. The
recommendations of the Sr. Systems Analyst are examined and
scrutanised by the General Manager (P) and finally approved by
the Managing Director.
Except in case of emergency in all the other routine cases only
Government agencies are engaged by the NMDFC
9.2 EDP-Grant-Aid Assistance Scheme (approved by the
Board)
Circulars/Office Orders issued by the Managing Director
9.3 NIL
9.4 Committee (One Officer each from Projects Wing,
Finance Wing, Personnel & Administration Wing
Sr. Systems Analyst
General Manager (P)
Managing Director
9.5 Managing Director
9.6
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Subject on which the decision is to be taken |
Computer Related Topics |
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Guidelines/Direction, if any |
EDP-Grant-Aid Assistance Scheme (approved by the Board)
Circulars/Office Orders issued by the Managing Director |
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Process of Execution |
Committee (One Officer each from Projects Wing, Finance
Wing, Personnel & Administration Wing
Sr. Systems Analyst
General Manager (P)
Managing Director |
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Designation of the officers involved in decision making |
Sr. Systems Analyst, General Manager (P) and Managing
Director |
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Contact information of above mentioned officers |
Phone Number- 22441453/55 |
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If not satisfied by the decision, where and how to appeal. |
Managing Director.
By representing through letter |
D. PERSONNEL & ADMINISTRATION DEPARTMENT
9.1 Ultimate decision is taken by the MD. However, in cases
where delegated is power is there, files are directly disposed
off at the level where officers have been delegated the powers.
The procedure followed for decision making is as under :
1. The files relating to the subject matter allocated to the
employees as per the office order are being submitted to their
reporting officer and ultimately, the files are submitted to the
Sr. Manager (P&A).
2. The Sr. Manager (P&A) disposed off the file and take the
decision, if the subject matter falls within his delegated
powers.
3. If the subject matter does not fall within his delegated
power, the files are being submitted to the Managing Director
for decision.
4. In case of policy matters and the matters requires the
approval of the Board, the same are being submitted to the Board
of Directors in the Agenda form for the consideration in the
Board Meeting with the approval of the MD.
9.2 The procedure is being followed as per the rules and
regulations of the corporation in-force from time to time. The
different level through which the decision process moves is
already mentioned at point no. 9.1.
9.3 The communication means are by letters, fax, e-mail,
telephone and other possible mode of communication.
9.4 Opinion of SM (P&A), GM and Managing Director obtained for
process of decision making. The other officers of the P&A Deptt.
are also involved in the process of decision making.
9.5 The final decision making rests with the Managing Director
who has the delegated authority by the Board of NMDFC.
9.6 N.A.
E. CORPORATE SECRETARIAT
9.1 & 9.2 Decision making process and Channels of Supervision
The decision making process in respect of affairs of the Company
may be categorized in the following two broad groups :-
a) Decision by the Board of Directors
b) Decisions taken in the day to day management of the affairs
of the Company.
In respect of (a) above, the process of decision making are as
under,
i. Relevant facts, issues concerning the matter to be referred
to the Board of Directors for the decision are prepared,
approved in the form of agenda for the Board Meeting.
ii. The agenda is circulated among the Board members (read
Directors) of the company.
iii. Board considers the matter and after discussions decision
on the issue/matter is taken.
iv. The decision of the Board of Directors in respect of the
matter is given the formal form of records by way of recording
the same in the minutes of the Board Meeting. The minutes of
Board Meeting is signed by the Chairman of the meeting ( Law
allows the same to be signed by the Chairman of the succeeding
Board Meeting also) and then the same are circulated amongst the
Directors.
v. Circulation of minutes as aforesaid is a matter of practice
and brevity as it provides opportunity to board members to see
that the discussions and decisions of the Board are properly
recoded.
vi. The decision of Board of Directors are communicated to the
concerned section heads / officers of the Company by the Sr.
Company Secretary.
vii. A report in the form of ‘Action taken Report’ is prepared
and placed before the Board on the matters on which decisions
have been taken. The said report is placed before the Board of
Directors at the subsequent Board Meeting.
In respect of (b) above, the decisions are taken by the
competent authority. Competent authority means the authority in
whom authority is vested for taking decision on the matter.
Managing Director, NMDFC is vested with the authority to take
care of day to day management of affairs of the Company. Also,
certain specific authority is delegated by the Board of
Directors in favour of certain officers of the Company for
discharging their duties in the course of the day to day
management of the Company’s affairs. Managing Director is also
empowered to authorise officers of the Company to exercise
certain authorities in the course of discharging functions
pertaining to / concerning affairs of the Company.
The decision making process in respect of (b) above are
invariably recoded in concerned files of the Company. The
movement of files and channels of command/ instruction and the
flow of files are usually determined by the office order of the
Company. There are functional heads, who submit files for
approval/information/instruction etc. of competent authority
through General Manager (Proj.)/directly to the Managing
Director of the Company.
Managing Director, NMDFC may assign any duty to any officer of
the Company as he may think fit from time to time
notwithstanding anything contained in the office order or the
established channels of command/instruction.
9.3 In the form of brouchers/pamphlets, personal audience
and website.
9.4 Supervision and accountability
Every officer / executive of the Company is supervised by and
accountable to the officer to whom he is to report. Every
functional head and officer is accountable for the job
responsibilities assigned to him by means of office order and
other assignment reposed on him. Managing Director, NMDFC is
overall in-charge of supervision of officers and executives of
the Company and accountable for the overall affairs of the
Company. Actions of Chairman and the Managing Director is
subject to supervision by the Board of Directors.
Apart from the above, the affairs of the company are subjected
to internal audit by independent agency, a statutory audit by
Chartered Accountants appointed by CAG; further phase audit and
accounts audit are conducted by comptroller and Auditor General
of India.
Organisation chart of NMDFC as per Annexure-I.
The above chart indicates the decision making process in respect
of affairs of the Company. The arrow marks indicate the flow of
files in the process. The decision making authority vests with
Managing Director and to a limited extent (as per approval of
Board of Directors) with Sr. Manager, Managing Director may
directly assign any duty to any of the officers / executives of
the the Company as he may think fit, and it shall not be
necessary for him to refer the matter through General Manager (Proj.).
Chairman is a non official director and is the Chairman of the
Board of Directors. He does not exercise executive powers.
9.5
1. Managing Director for day to day management of the affairs of
the corporation.
2. Board of Directors in respect of our policy decisions and
also in respect of all other matters for which specific
delegation to Managing Director is not provided.
9.6
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Subject on which the decision is to be taken |
Legal/ Secretarial and Administrative and Projects
oriented. |
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Guidelines/Direction, if any |
Companies Act, Memorandum and Articles of Association,
Order of Ministry of Social Justice and Empowerment. Now,
Ministry of Minority Affairs. |
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Process of Execution |
i. Putting up the file to the Managing Director by Sr.
Company Secretary.
ii. Proceeding of Board meetings on the Agenda placed
before it. |
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Designation of the officers involved in decision making |
Managing Director/Board of Directors |
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Contact information of above mentioned officers |
Sh. A. V. Krishnan, Sr. Company Secretary |
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If not satisfied by the decision, where and how to appeal. |
Managing Director.
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