CLASSIFIED RECORDS

THEIR MANAGEMENT
AND
DECLASSIFICATION AND
APPRAISAL
OF RECORDS
 Classified Records - Their
Management & Declassification
What is Classified Records:-

Means safe guarding of such information in the

possession of the Department, the unauthorised
disclosure of which would cause damage to the
department and overall to the national security.
Such records need special protection and security
so as to ensure that they are not accessible to
unauthorised person.
117. TREATMENT OF CLASSIFIED PAPER
- In having classified papers, the official concerned will
have to exercise, special case and follow the provision
under `Departmental Security Instructions’ issued by
the Ministry of Home Affairs
- Since according to these instructions, classified
papers (other than confidential) are expected to be
handled either by officers themselves or in sections
designated as `secret’ or `top secret’, it is essential that
in sections not so designated.
- A separate set of registers and other records is
maintained by Section Officer himself
- The recording of such files and their review is also
undertaken by him personally, keeping in view the
provisions under the Departmental Security Instructions
118. CONFIDENTIAL CHARACTER OF
NOTES/FILES
- The note portion of a file referred by a department to
another will be treated as confidential and will not
be referred to any authority outside the secretariat
and attached offices without the general or specific
consent of the department to which the file belongs
- If the information is in the electronic form, it will
be handled by the authorized official only
- When the general consent has been obtained under
sub-para 118 of CSMOP, such consent will however
exclude classified files or to files in which the
officer to whom the file is supposed to be referred or
shown, is personally affected or
- In which his official conduct is under consideration
- For the purposes of attending meetings/discussions
outside office an officer not below the level of
Section Officer/Desk Officer may carry confidential
papers/files or an officer not below the level of
Under Secretary may carry Secret Papers/ files in a
special circumstances with the written authorization
of Joint Secretary concerned.
- The authorization will be produced by the officer on
demand
 NEED TO DEVELOP A PROPER SECURITY CLASSIFICATION
Classification Officer authorized for Nature of Records
classification
Top Secret Of and above Relating to National Security and
Director/Deputy national interest – to be used with
Secretary Level reservation
Office
Secret Of and above Under As above or may cause embarrassment to
Secretary Government in its day to day function

Confidential Of and above the National Security and prejudicial to

Section Officer national interest or embarrassing to
Government interest
Restricted For office use only Information meant for official use and not
to be furnished or communicated to any
one except for official purpose.
120. USE OF RESTRICTIVE CLASSIFICATION FOR
PRITN ED REPORTS
- The restrictive classification `for official use only’
will not be assigned to any printed report, pamphlet
or compilation unless it contains information which
it would not be desirable in the public interest to
disclose
- In doubtful cases, the test that may be usefully
applied is whether the publication whose circulation
is proposed to restrict to official use only, is such
that the Minister would be justified in refusing to lay
it before the Parliament
- No official publication (including in electronic form)
will be marked `For official use only’ except with
the prior approval of the branch officer, whose will
obtain the orders of the Secretary or Minister in
doubtful cases
 Categories of Records deserving security
Classification :-

1. Military Plans, Weapons and operations.

2. Plans relating to National security.
3. Intelligence activities.
4. Foreign relations or foreign activities of the
country.
5. Scientific technological or economic information having
the bearing of national security.
6. Nuclear energy programmes.
7. Important negotiations and contracts within and outside
the country may be safely given the security classification.
 Upgrading and downgrading of classified
records.:-
Range of the same officer or above the rank of an officer
who had given the security classification to records.
The manual of Department Security Instructions issued by
the Ministry of Home affairs provides detailed information
in regard to the treatment to be given to the classified
records which may be strictly adhered to in this respect.
No time limit has been prescribed to declassify record and
access to these record is only possible when they are
declassified.
However CSMOP and Manual of Departmental Security
Instructions and Rule 7 of Public Records rule 1997
Stipulate the reviewing of classified records after every five
years with a view of down grading/declassify them.
Appointment of Review officer -- The records creating agency
shall by an office order authorise an officer not below the rank
of the Under Secretary to the Government of India to evaluate
and downgrade the classified records being maintained by it. A
copy of such office order shall be forwarded to the Director
General or head of the Archives, as the case may be.
(2) The officer so authorised under sub-rule (1) shall evaluate
the classified records every fifth year for the purpose of
downgrading.
(3) After down-grading if the officer declares any record as of
permanent nature, the same shall be deposited, and preserved
with the Director General or head of the Archives, as the case
may be, after its appraisal.
(4) The records deposited under this rule can be
requisitioned for any official purpose and returned to the
Director General or head of the Archives, as the case may
be, in the manner provided under rule 6.

Role of intelligence Bureau :-

1.Provide guidance.
2.Provide security officers.
 Basic Security Precautions :-

1. Top secret record should be kept in steel boxes.

2. Circulations of these documents should be
limited.
3. No secret papers should be taken home.
4. Typing and Xeroxing will be done in the
presence of a particular officer.
5. Disposal- Rough-Draft note and confidential
waste paper should be destroyed by burning in
presence in section officers.
 WHY APPRAISAL
- All records created by an agency cannot be preserved for ever
except few for obvious reasons
- Need to resort to `Selective Retention’
- Segregate chaff from grain in an objective manner
- This is a process of determining the value of records based on their
existing value in terms of
- Administration
- Legal
- Fiscal
- Evidential
- Informational
- At times, the intrinsic value of records depends on other unique
factors:-
- Age
- Circumstances regarding their creation, a signature or
an attached seal
- A very careful exercise. One has to be very cautious as they
are unique
- Appraisal standards cannot be precise or definite
- They are only guidelines to be applied with discretion by the
appraiser
- Hence they should be mature
- Experienced
- with passage of time records still current acquire some value
- unimaginable for the record creating agency
•its position in Government hierarchy
•nature of activities
•relation of activities with superior and subordinate
administrative units
•important as part of series of records
•organizational history of the agency
 WHEN TO CONDUCT APPRAISAL
Under Section 6(1) b&c, of the Public Records Act, 1993,
Departmental Record Officers are responsible for
(b) periodical review of all public records and weeding out
public records of euphemeral value
(c) appraisal of public records which are more than 25 years old
in consultation with the National Archives of India or, as the case
may be, the Archives of the Union Territory with a view to
retaining public records of permanent value
- Should commence at a date not far from closing of the files
before its transactions fade away from memory
- Files marked having permanent value should not be
subjected to review at this stage.
- Only resort to ‘C’ category files from administrative point of
view
- A question should be posed by the appraiser if the file
subjected to review have any precedent value or as guide for a
possible action in future
When to conduct appraisal contd...
- If a case of doubt better give it a further lease of life - during
second review could be weeded out
- if needed could be upgraded from C to B or A category
- if the file is recurring in nature, retain as a sample
- Paper of ephemeral value could be weeded out without appraisal

WHICH RECORDS ARE TO BE APPRAISED ?

‘A’ and ‘B’ categories of records to be appraised in consultation with

National Archives of India.‘A’ Keep and microfilm‘B’ Keep but do not
microfilm
2. Appraisal of Records :- Non current records which are more than twenty five
years old from the date of opening are appraised with consultation of National
Archives of India as required under section 6 clause C of sub-section 1 of
section 6 of the Public Records Act, 1993 and Rule 5 of the Public Records
Rules, 1997

Stages of Appraisal :

Appraisal is mainly done in three stages.

1st Stage :- Ephemeral records are weeded out at the end of the year by the
creating agency.

2nd Stage :- Review is done after expiry of the specific retention period by the
creating agency.

3rd Stage :- Final appraisal is done after completing 25 years.

 FILES DEALILNG WITH HOUSE KEEPING JOB
- Could be weeded out quickly at the initial stage.
•Routine personal records
•after audit and entries in stock register
•Purchase order
•stock control records
•servicing of typewriters, machines, etc., furniture, stationery,
etc.
- Records of establishment
•welfare matters
•public relations
- Parliament question file also provided they do not contain any
consolidated information
HISTORICAL APPRAISAL - RESEARCH CRITERIA
- A & B category records are resorted to after a lapse of certain
time
- Should not be done by creating agency as they do not have
expertise or experience
- Need to associate Archivist at this stage.
- Could associate professionals and specialists besides
Archivists who are in touch with research scholars.
- Records acquire value other than advancing with the lapse of
time.
- Historians, Genealogists and researcher may get interested in
them besides administration for the information contained in
them.
- ‘A’ and ‘B’ category records fall in this category for
their historical significance
- Subjected to review after 25 years because of their
informational value they might possess.
- These files will generally deal with to be kept
permanently:
•Enactment of law
•Framing of rules and regulations
•Executive orders for creation, organization and
reorganization of offices, discontinuance
•Achievement and consolidation of functions
•Recruitment policy, promotion, retirement
•Interpretation of rules, legal functions
•Property titles
•Appointment of Committees and Commissions
•Reports
•Agreements and Convention
•Public or international events of national importance
•Cabinet Notes-comments-complete set of paper to be kept by the
concerned Department
•Unpublished statistical and financial data covering a wide period -
scientific-technical research
•Files containing information on biographical or antiquarian
interest.
 APPRAISAL

Why retain records Permanently?

- Legal/ Evidential Value

- Administrative Value
- Informative Value
- Historical Value
- Intrinsic Value
APPRAISAL CONTD.

Why retain records Permanently?

Legal/ Evidential Value

- Memoranda of Association (MOA)

- Articles of Association
- Board Minutes
- Title Deeds
- Treaties/ Agreements
- Trade Marks
- Patents
- Contracts, Leases
- Wills etc.
APPRAISAL CONTD.

Administrative Value

- Policy Files
- Statement of Functions
- Organisation Charts
- Procedures and Instructions
- Minutes of Meetings
- Report on Major Projects
- Important Designs
- Drawings
- Specifications etc
APPRAISAL CONTD.

Informative Value

- Production Reports

- Market Research Reports

- Technical Literature etc

APPRAISAL CONTD.

Historical Value

All of the earlier categories, +

Papers related to:

- Eminent personalities
- Diaries
- Letters
- Photographs etc.
- Prominent Events:
- Photographs
- Souvenirs
- News-clippings etc.
APPRAISAL CONTD.

Intrinsic Value

- Signatures
- Seal
- Stationery
- Photograph
- Map
- Plan etc.
APPRAISAL CONTD.

BASIS OF APPRAISAL:

- Usefulness of Records
- Originating Office
- Number of Copies Available
- Interests of the Creating Agency
- Legal/ Statutory Requirements
- Interests of the Citizens
- Protection of the Civil Rights
- Research Potential
APPRAISAL CONTD.

Basis of Appraisal

Other Factors:

- Age of Records
- Cost of Preservation
- Frequency of Usage

Transfer of Records to Archives

APPRAISAL CONTD.

Transfer of Records to Archives

1. The files recommended for permanent retention (Keep) may

be properly repaired, docketed, stitched, wherever necessary.

2. The files may be tied in sizeable bundles, preferably between

two pieces of 5 ply boards, to avoid damage to the files.

3 Nomenclature viz. Name of the Organisation, Department,

Branch, Year(s) and File Nos may be mentioned on the
boards/main cover of the files clearly.

4. Wherever any abbreviation has been used, the same may be

indicated in full.

5. Transfer list may be prepared in triplicate

Transfer of Records to Archives

6. The Transfer list and records should be arranged Branch/ Section-wise

and in chronological order.

7. All records, along with the Transfer list (in triplicate), may be forwarded
to the Archives for permanent preservation.

8. After checking of the records/ transfer list, the Archives would return
one copy of the Transfer list to the records creating agency as a receipt of the
records.