State Project Facilitation Unit, Uttar Pradesh

Role / Functions / Responsibilities

The Role functions & Responsibilities of the SPFU shall be:

  • To establish and carry on the administration and management of the ‘State Project Facilitation Unit, Uttar Pradesh, Lucknow’, (Hereinafter referred to as the SPFU-UP).
  • To Provide for facilitation and monitoring of implementation of world bank assisted Govt. of India Project on Technical Education Quality Improvement Programme for the Uttar Pradesh state.
  • To hold or organize workshops, conference, meetings, seminars, special lectures etc for successful conduction of programmes and also to monitor conduction of these programmes in other selected institutions in the state.
  • To monitor the conduction of TEQIP programme in the selected institutions.
  • To coordinate between the selected institutions and state government and the National Project Implementation Unit, NOIDA.
  • To create administrative, technical and ministerial posts and to make appointments thereto, in accordance with the approved scheme and the rules and Bye-laws of the Society that may be approved by the Government of Uttar Pradesh (hereinafter referred to as the state government).
  • To help selected institutions for upgrading their academic facilities, infrastructural facilities and all other facilities which are necessary and desirable for academic Institution.
  • To frame the first rules and by-laws of SPFU-UP with the approval of State Government. The Board of Governor’s (BOG) may, from time to time, make new or additional rules or may amend or repeal the rules with the concurrence of the State Government.
  • To meet the expenses of the ‘Society’ including expenses incurred in the exercise of its power and discharge of its functions out of the fund.
  • To maintain proper accounts and other relevant records and prepare annual statements of accounts including the balance sheet in such for as may be proscribed by the state government.
  • To have accounts of the Society audited in such manner as the State Government may direct and, to forward annually to the State Government the account duly certified by auditors together with ‘Audit Report’ thereon.
  • To constitute such committee or committees as the ‘Society’ may deem fit for disposal of or advice on any business of the SPFU-UP.

Role of State Project Advisor(SPA):

The SPA will perform with the functional assistance from the SPC,the following functions:

  • Disseminating to institutions,through its website,information on the Project design,eligibility and selection criteria for Institutions and the associated processes,
  • Preparing Annual Budgets and detailed semi ‐ Annual Plans and Budget,
  • Organizing receipt of separate eligibility and Institutional Development Proposals(IDPs)from Institutions for Sub ‐ components 1.1 and 1.2 and proposals of Sub ‐ component 1.2.1,
  • Organizing preparations of proposals for Innovation Fund,
  • Developing proposals for local technical assistance to institutions,
  • According final approval to the Institution’s Procurement Plan on recommendations of SPC and Procurement unit of the SPFU,
  • Organizing meetings of mentors and experts,
  • Building capacity of Institutions for implementation of Equity Assurance Plan(EAP), Environment Management Framework (EMF) and Disclosure Management Framework(DMF)requirements,
  • Liaising with the NPIU to discuss project implementation progress to identify and solve emerging problems,
  • Facilitating Joint Review Missions, Mid ‐ term and End ‐ term Missions and other Supervision and Implementation Support Missions, as required, and
  • Carrying out other related tasks as may be requested by the NPIU.

Role of functional Units in the SPFU :

The SPFU will have 4 Units, namely Academic Unit,Procurement Unit,Financial Management Unit,and Monitoring and Evaluation (M&E) Unit.States with less than 5 project institutions may reduce the number of Units to 2, namely: (a)Academic and M&E Unit, and (b)Procurement and Financial Management Unit, merging their respective functions.Functions of each of the 4 units are described below:

Academic Unit: Under the guidance of the SPA, this Unit will:

  • Organize training workshops for Institutions as required from time to time, on preparation of Eligibility and Institutional Development Proposals (IDPs) for Sub ‐ component 1.1, IDPs for Sub ‐ component 1.2 and for Establishment of Centres of Excellence,
  • Review Eligibility Proposals from Institutions, and prepare reports on the same for consideration ofthe SSC,
  • Forward the recommendations of SSC on eligibility of Institutions to the NPIU along with all the original eligibility applications received by the SPFU,
  • Forward all eligible proposals received to the NPIU with due recommendations from the SSC,
  • Provide guidance and arrange technical assistance to Institutions for carrying out realistic and meaningful Training Needs Analysis (TNA) to achieve their Developmental Goals and to also provide avenues for professional development of individual faculty members,
  • Monitor progress in faculty and staff development for each Institution and take corrective actions, as required, to ensure that Institutions achieve their targets as given in their Faculty and Staff Development Plans,
  • Initiate and promote preparation of proposals for funding under the Innovation Fund,
  • Identify Mentors and Performance Auditors for the project institutions,
  • Carry out orientation of BoGs at the respective Institutions and disseminate good governance practices,
  • Organize workshops for sharing good academic practices and innovations with other SPFUs and project institutions, and
  • Oversee mentoring, performance and technical audits of project institutions, obtain and review the reports and share these reports with the SSC and the NPIU.
  • Organize Pedagogical Trainings
    • The SPFUs can facilitate Pedagogical Training in the State sponsored institutions. The SPFUs shall follow the following steps, if pedagogical trainings are arranged.
    • Compile a list of project institutions desirous of training on their campus in the First Year of the Project along with their location, number of participating faculty and the time slots convenient to them.
    • The SPFU would select training providers for individual or cluster of institutions by following the World Bank Consultant procurement procedure. It will appoint a senior faculty member as the Training Coordinator who will facilitate and coordinate the training and carry out the follow ‐ up activities.
    • The training providers will be required to evaluate the effectiveness of the training given, and the results will be shared with the institution, the SPFU and the NPIU.
    • The SPFU will monitor progress and effectiveness of training, review faculty feed back and end ‐ of ‐ course assessment reports for their institutions.

Procurement Unit : Under the direct guidance of the SPA, this Unit will:

  • Ensure full knowledge and systematic application of the World Bank Guidelines for Procurement of Works, Goods and Services and use of PMSS by all project institutions,
  • Guide Institutions in preparation of their Procurement Plans, review these, and forward to the World Bank through the NPIU,
  • Manage the procurement of works, goods and consultancies required for State level activities under the Project and manage the procurement of International Consultancies,
  • Verify the justification of procurement of items and its link with objectives and the listed activities of the project,
  • Recommend the procurement plan of each institution for find approval to the State Project Advisor (SPA) through the State Project Coordinator (SPC) after thorough scrutiny of the plan for ascertaining full compliance with the World Bank laid procedures of procurement and complete requirement of PMSS,
  • Conduct post ‐ procurement audits of Institutions for ensuring full compliance with the World Bank procedures
  • Ensure compliance with EMF requirements and quality guidelines (as given in the Civil Works Manual) for all civil works in Institutions,
  • Act as a support and reference unit to Institutions for all Project ‐ related procurement tasks, and
  • Submit quarterly procurement progress reports to the SSC.

Financial Management Unit : Under the direct guidance of the SPA, this Unit will:

  • Provide guidance on financial, accounting and reporting aspects to the project institutions at the State level,
  • Ensure full knowledge and systematic application of the Project procedures and requirements for financial Management,
  • Prepare budget for project at State level and arrange timely flow of funds to institutions,
  • Accept Quarterly Financial Monitoring Reports (FMRs) from the participating institutions and guide/monitor and provide support for adherence to the fiduciary guidelines, financial management issues,
  • Consolidate FMRs for the project and submission to the NPIU, so as to facilitate disbursement of funds within the required timeframe,
  • Hire Internal and External Auditors,
  • Monitor quality of audit arrangements in all agencies in the State which will be funded under the project. Regularly monitor compliance of audit observations by institutions,
  • Timely submit consolidated Audit Report of Project Institutions and the SPFU to the NPIU,
  • Provide support to Financial Management/accounting staff of institutions for resolving various issues related with accounting/Financial Management aspects, reporting system etc. Facilitate implementation of the project and providing advisory services and support for financial management and other allied issues,
  • Impart comprehensive and topic specific training to project staff at various levels on Financial Management and manage these training programmes through preparation of training plan, including schedule of trainings/workshops/ seminars/orientation, and monitor implementation of the plan in close co ‐ ordination with the NPIU, and
  • Other project aspects related to financial management,

Monitoring and Evaluation Unit : Under the guidance of the SPA, this Unit will:

  • Facilitate MIS training of personnel from all project institutions,
  • Ensure periodical updation of the MIS data at the Institutional and State levels,
  • Monitor progress in implementation of various Project elements on a day ‐ to ‐ day basis,
  • Assist the Monitoring and Evaluation Specialist in the NPIU,
  • Implement and oversee procedures for the regular monitoring of performance of project institutions,
  • Undertake regular field visits to Institutions and develop a simple monitoring checklist, and consolidate quarterly monitoring reports based on the monitoring checklists, and
  • Propose corrective actions (if any) that need to be taken. These will be acted upon by the SPA/ State Government. The NPIU Monitoring and Evaluation Unit will be responsible for collating these monitoring reports, and preparing semi ‐ annual monitoring reports.