Welcome to the Presentation

on:

File Management & Records

Management
Objective
 To recall the procedure prescribed in the
Central Secretariat Manual of Office Procedure
on File Management in a Central Government
Office
 To discuss essentials of records management
 To emphasise the need for periodical
recording, reviewing and weeding out of files.
Overview of Presentation
 Salient features of Manual of Office
Procedure(MoP)

 Essentials of File Management System

 Principles of Records Management

Manual Of Office Procedure
(MoP)
 Prescribed by the Department of
Administrative Reforms & Public Grievances
 First published in March, 1955. Twelfth
edition published in May, 2003
 Deals with:-
 Machinery of Government
 Dak-Receipt, Registration,
Distribution, Submission,
MoP (contd.)
Action on Receipts
Forms and procedure of Communication
Noting and Drafting
Security of information and Documents
Checks on delays
Records Management
MoP: Machinery of
Government
PARA 6.2: ATTACHED & SUBORDINATE OFFICES
Attached Office:
Repository of technical information and
advise the Department on technical aspects

Subordinate Office:
Field establishments responsible for
detailed execution of policies of a
Department
MoP: Machinery of
Government

Para: 7 Constitutional Bodies

Bodies constituted under the provision of the
Constitution

Para: 8 Statutory Bodies

Bodies established under the Statute or an
Act of the Parliament
MoP: Machinery of
Government
Para: 9 Autonomous Bodies
Bodies established and funded (partly or fully) by
the Government through MoU to discharge activities
related to Governmental functions
Para: 10 Public Sector Undertakings
A part of industry, controlled fully or partly by the
Government, set up in the form of companies or
corporation, in which President has shares/stakes
MoP: ACTION ON Receipts

 Para-16 to 21: Perusal, marking & diarising of

receipts
 Para-22 to 29: Examination and action on
receipts
 Para-32 to 34: Guidelines for Noting
 Para-35: Aids to Processing
 Para-36 to 39: Oral instructions by higher
officers
File Management System
(FMS)

 Para-41: Filing of papers – Notes &

Correspondence
 Para-42: Arrangement of Papers in a case
 Para-43: Referencing
 Para-44: Linking of files
 Para-45: Use of Urgency Grading – IMMEDIATE
or PRIORITY
Referencing a File
 Every page in each part (Notes or
Correspondences) of a file will be
consecutively numbered in separate series
in pencil on the right top corner
 Each item of correspondence in a file,
whether receipt or issue, will be assigned a
serial number which will be displayed
prominently in red ink at the top middle of
its first page
Referencing a File (contd)
The paper under consideration on a file will be
flagged ‘PUC’ and the latest fresh receipt will be
flagged as ‘FR’.
Draft, if any, put up will be flagged as ‘DFA’
References made in the body of the Note and
Draft to any previous correspondences, rules etc.
shall be indicated on the margin of the Notes in
pencil
Only Awl pin is to be used to secure a Flag.
FMS: Drafting of Communication

 Para 50 to 67: Forms and ways of

Communication [Appendix-9]
 Para 50(11): Notification issued in the
Gazette of India [Appendix-11]
 Para 68 to 72: Drafting of Communication
 Para 70: Authentication of Government
Orders
File Management System
(FMS)
 FILE REGISTER (Para-97): A record of files
opened during a calendar year will be kept
in a file register to be maintained by the
diarist
 Format of FILE REGISTER is given in Appendix-
22 of the Manual
 File Register and File Movement Register
are different
FMS: Format of File Register
APPENDIX-22
[Vide Para 97]
STANDARD HEAD NO……………………………………………………………………………………………………………………………………….

STANDARD HEADING………………………………………………………………………………………………………………………………………

FILE SUBJECT Date of Classification (and Remarks

NO year of review)
Opening Closing
1 2 3 4 5 6
INSTRUCTIONS ON FILE
REGISTER
 Entries in columns 1-3 will be made at the
time of opening files and those in columns 4
and 5 at the time of recording and reviewing
them.
 Year of review in column 5 is required to be
indicated only in the case of class `C’ files.
 If as a result of the review, a file is marked for
further retention, the year of the next review
will be worked out and indicated in column 5.
INSTRUCTIONS ON FILE
REGISTER

When a file is transferred to the departmental

record room or to another section department, the
fact of such transfer and the relevant date, will be
indicated in column 6 – e.g.
D.R.R. M.H.A
6-12-2006 16-12-2006
Similarly when the file is marked for destruction,
an entry regarding the fact and the year of
destruction will be made in this column.
FMS: FILE MEOVEMENT
REGISTER
APPENDIX-23
[Vide Para 100(1)]
FILE NUMBER……………………….

SUBJECT………………………………………………………………………………………………………………………………………

TO WHOM DATE

Space for recording movements of part files

TO WHOM DATE
Records Management (RM)
 Departmental Records Officer (DRO) – Para
102 (2) and Records Clerk –Para 104(g)
 Activities in Records Management:-
 Recording

 Retention

 Retrieval and

 Weeding Out
RM: Action for Recording a
File
When action on the issue(s) considered on the
file is completed:-
 Indicate the appropriate category of record
[ Para-105]
 Revise Title (Subject) of the File if required to
accurately describe the content
 Get the file INDEXED [Para-107], unless it is to
be retained for less than 10 yrs
RM: Action for Recording a
File

Add extract from the file to STANDING GUARD

FILE/PRECEDENT BOOK
Remove superfluous papers and destroy them
Complete all references
Pass on the file to the Records Clerk
RM: Categorisation of Records
CATEGORY-’A’ KEEP & MICROFILM

 Files which require permanent preservation

(Part-’A’ of Appendix-25]

 Precious document and original must be

preserved and access restricted
RM: Categorisation of Records
CATEGORY-’A’ KEEP & MICROFILM
Material may be required by different parties
Files of Historical Importance [Part-’B’ of
Appendix-25]
To be reviewed on the 25th year of recording
and if survive, transfer to National Archives of
India
RM: Categorisation of Records
CATEGORY-’B’ KEEP BUT DO NOT MICROFILM

 Permanent preservation required for

administrative purpose

 List of files indicated at Part-’A’ of Appendix-

25
 RM: Categorisation of Records
CATEGORY-’B’ KEEP BUT DO NOT MICROFILM
Will EXCLUDE:-
Material may be required by different parties
Files of Historical Importance
[Part-’B’ of Appendix-25]
To be reviewed on the 25th year of recording and
if survive, transfer to National Archives of India
RM: Categorisation of Records
CATEGORY-’C’ KEEP FOR SPECIFIED PERIOD

 Include files of secondary importance

 Having reference value of not more than 10
years
 If it is to be retained for more than 10 years,
record is to be categorised as Category-’B’
 RM: INDEXING OF
RECORD
 Standard Head as “Index Head” in Conventional
Filing System
 No index is required for files in Functional Filing
System
 Index Head = CATCH WORD(S)
 Examples of Index Slips given at Appendix-26
 Record Clerk will be the custodian of Index Slips
 Each Year Index Slips will be compiled
alphabetically [Para-109] (using computers)
RM: RECORD RETENTION
SCHEDULE
 Records connected with finance & accounts
– Appendix-13 of the General Financial Rules

 Records relating to establishment,

personnel and housekeeping matters –
Schedule prescribed by the Department of
Administrative Reforms & P.G.
RM: RECORD RETENTION
SCHEDULE

Records prescribed in the Manual –

Retention Schedule at Appendix-28

Records on other substantive functions,

Each Department may issue Departmental
Retention Schedule in consultation with the
National Archives of India
RM: CUSTODY OF
RECORDS
 Keep records up to 1 year within a Section
 After 1 year transfer to Departmental Record
Room (DRR) through Register as at Appendix-
24
 List of Files transferred to DRR to be prepared
as per Appendix-29
 DRR will maintain a Record Review Register
as per Appendix-30
RM: CUSTODY OF
RECORDS
If a Record-A or B survives on it’s review on the
25th year, retire the record to the National Archives
of India
“Record Room will be properly ventilated, with
adequate lighting, in a moisture free environment with
fire-safety equipment. Records will be arranged
serially section-wise and will be regularly dusted. For
proper preservation, records will be periodically
fumigated and moth-balls will be used.” [Para 112(6)]
RM: REVIEW & WEEDING OUT OF
RECORDS

 Category-’C’ files are to be reviewed on

expiry of specified retention period and are
to be normally WEEDED OUT.
 Justification for further retention is to be
recorded on the file itself with the approval
of next higher authority
 Total life span of a originally Category-’C’
file cannot be more than 10 years
RM: REVIEW & WEEDING OUT OF
RECORDS

Category – ‘A’ & ‘B’ files are to be reviewed on

attaining the 25th year and if survive, to be
transferred to the National Archives of India
DRR will send files to all concerned in
January, April, July and September for review
and weeding out in the form as at Appendix-31
Destruction of Files to be done by DRR only
RM: REVIEW & WEEDING OUT OF
RECORDS

Files relating to Departmental Inquiry, Court

proceedings which may be required for such
inquiry /Court case may not be destroyed, even
if they have completed their retention period
State of indexing/recording/reviewing in
each quarter in their Wings may be reviewed by
the respective Joint Secretaries – Para-113(9)
(c)
Decisions sought
 Special Drive in all Sections/Desks/Units
for maintenance of File Register and other
Registers prescribed in the Manual
 Special Drive for Recording, Reviewing and
Weeding out of Files by each
Sections/Desks/Units
 In-house Training on Office Procedure and
Records Management for all officers/staff