Welcome

1. Welcome

2. Office procedure – terms used • Appendix to correspondence • Appendix to notes • Branch Officer • Case • Central issue section • Central issue and receipt section • Central registry • Classified dak • Citizen/Client’s Character

3. Office procedure – terms used • Come-back case • Correspondence portion • C.R.No • Current file • Dak • Dealing hand • Department • Departmental index • Departmental instructions

4. Office procedure – terms used • Departmental Record Officer • Desk • Desk functionary • Diarist • Diarising • Diary number • Division • Docketing • File

5. Office procedure – terms used • Final disposal • Fresh receipt • Indexing • Index slip • Information & Facilitation counter • Issue • Issue of fair communication • Messenger Book • Minute

6. Office procedure – terms used • Note • Nodal Ministry • Ordinary postal dak • Parlimentary matters • Personal staff • Postal Communication • Postal dak • Receipt • Record clerk

7. Office procedure – terms used • Recording • Reference folder • Routine note • Secretariat Offices • Section • Sectional note • Section officer • Security grading • Standing guard file

8. Office procedure – terms used • Standing file • Standard process sheet • Urgent dak • Wing

9. Quiz • Quiz on the terms used in Office Procedure

10. Dak Receipt,Registration,Distribution • Receipt of Dak: • During office hours entire dak of dept. will be received in the central registry • Important /immediate dak addressed to Minister by name sent through special messenger & received by their personal staff • Outside office hours,dak will be received by addressee himself at his residence if marked ‘immediate’. • Communication received through emails downloaded centrally in the Computer Centre & forwarded to Central Registry • Communication received through fax should be photocopied

11. Dak Receipt,Registration,Distribution • Acknowledgement: • Receipt of dak, except ordinary postal dak, will be acknowledged by receipient • Acknowledgements of e-mail received sent electronically • Registration of dak: • Urgent dak separated from ordinary dak • All covers except those addressed to Ministers by name or those bearing a security grading opened by the central registry • On opening dak, central registry/IFC will check enclosures and make a note of any item found missing • All opened dak, as well as covers unopened classified dak are date-stamped

12. Dak Receipt,Registration,Distribution • Specimen of date stamp • Entire dak sorted out section-wise • Central registry/IFC maintain one or more dak registers as found convenient • C.R./I.F.C. No. assigned to dak, manually in the dak register or through the computer will be indicated on the dak • Dak received be registered through computer whereever such facility is available in Central Registry/IFC. Dak register and invoice register need not be maintained manually

13. Dak Receipt,Registration,Distribution • Distribution of dak: • Central registry/IFC prepare invoice separately for each section • The dak along with invoice sent to the section & acknowledged by diarist • Invoice duly signed, will then be returned to the central registry/IFC • Alternatively dak may be distributed & acknowledgement obtained in messenger book or dak register maintained • Urgent dak distributed as & when received • Other dak may be distributed at suitable intervals • Urgent dak received outside office hours sent to sections concerned it there is staff on duty. In other cases dealt with in accordance with instructions issued by dept.

14. Receipts-Submission & Diarisation • Perusal & marking of receipts by section officer: • Go through receipts • Forward misdirected receipts to sections concerned • Separate the dak to be seen by higher officers before they are processed and marked to officers concerned • Mark to himself such receipts which are difficult nature or present any special features requiring personal attention • Mark other receipts to dealing hands. Indicate urgency grading & give directions regarding line of action • Keep note in his diary of important receipts requiring prompt action or disposal by specified date • Submit the case to officer last noted on it,if returned by another department

15. Receipts-Submission & Diarisation • Diarising of receipts in sections: • Each section maintain section diary • Diarist will diarise in section diary • Inter-departmental notes or other category of receipts sought to be distinguished from rest entered in section diary in red ink • Receipts redirected to other sections will also be diarised • Papers referred to another department diarised each time when received back • If receipt diarised after a lapse of more than 15 days date in column 3 of section diary circled in red-ink • Section officers scrutinise section diaries once a week to see that they are being maintained properly & sign

16. Receipts-Submission & Diarisation • Diarising of receipts addressed to officers: • Personal staff of officers of the rank of Deputy Secretary & above will diarise receipts addressed to their officers in respective personal section diary • No receipt will be diarised more than twice • In computerised diary system no receipt be diarised more than once • Movement of receipts: • Receipts submitted to officers will move in pads labelled as ‘Receipts Pad’ • Section officer keep careful watch on any hold-up in movement of receipts. Diarist will bring to notice of section officer, any receipt not received back from officers within one working day

17. Action on Receipts: • General principles: • Officer himself initiate action on many receipts as possible, keeping in view the priority requirements • Number of levels at which a case is examined will be reduced to minimum • Paper work will be kept at an essential minimum • Least possible time will be taken for examination and disposal of cases • While disposing cases, an officer will aim at optimising the quality

18. Action on Receipts: • Action by dealing hand: • Go through the receipts & separate urgent receipts from rest • Enter receipts in assistant’s diary • Deal with urgent receipts first • Check enclosures and if any found missing, initiate action to obtain it • If any other section is concerned with any part and if so, send copies or relevant extract to that section • Bring receipt on current file if one already exists & open a new file & indicate file no in column 4 of assistant’s diary • Assign receipt page number & serial number • Docket the receipt & reproduce on the notes portion

19. Action on Receipts: • Action by dealing hand: • Identify & examine the issues involved in the case & record a note • Arrange papers & reference them in the case properly • Where necessary, attach label indicating urgency grading appopriate to the case • Put up case to appropriate higher officer • Indicate date of submission in column 5 of assistant’s diary. In computerised diary system indicate details of submission at appropriate column

20. Action on Receipts: • Action by Section Officer: • Scrutinise note of dealing hand • Finally dispose of routine cases • Take intermediate routine action • Record, where necessary, a note setting out his own comments or suggestions • Submit case to appropriate higher officer • In computerised environment also make suitable entry in the electronic diary register

21. Action on Receipts: • Examination by section: • When line of action on receipt is obvious or is based on a clear precedent or practice, or has been indicated by higher officer, a communication has to issue, a draft will be put-up without any elaborate note. • In other cases, the section, while putting up a case, will: • See whether all the statements, so far as they are open to check, are correct • Point out mistakes, incorrect statements, missing data or information, if any • Draw attention, if necessary, to the statutory or customary procedure and point out the relevant law and rules • Furnish other relevant data or information available in the department, if any • State the questions for consideration and bring out clearly the points requiring decision • Drawn attention to precedents

22. Action on Receipts: • Examination by section: • In other cases, the section, while putting up a case, will: • Evaluate relevant data and information • Suggest, where possible, alternative courses of action for consideration

23. Action on Receipts: • Standard Process Sheet: • For dealing with cases of repetitive nature standard process sheet will be devised by respective Ministry/Department & will be prescribed through departmental instructions • No notes will be recorded in such cases • Standard process sheets will also be maintained in electronic form in a computerized environment

24. Action on Receipts: • Level of disposal and channel of submission: • Officer above the rank of Section Officer take action in accordance with instructions prescribing the level of final disposal and channel of submission for each category of cases • Departmental instructions also maintained in electronic form in a computerised environment • Each Department will review instructions on level of disposal and channel of submission every three years keeping number of levels at which case is examined to the minimum by delegating powers • A case seen either by an Under Secretary or Deputy Secretary/ Director • A Desk Officer will submit cases direct to the Deputy Secretary or Director who in turn would submit it to Joint Secretary/ Additional Secretary

25. Action on Receipts: • Direct submission of cases by Senior assistants: • An assistant in a conventional section who has more than five years service in the grade including at least six months in concerned section may be required to submit all his cases direct to branch officer • In appropriate cases, assistants with less than five years service in the grade may also be permitted to submit cases direct to branch officer • All cases directly submitted to assistants to branch officer will as a rule, go back to the assistants through section officer • Section officer will be free to bring it to notice of branch officer any omission or flaws in submission of cases or decisions taken & thus give an opportunity to branch officer to reconsider the matter

26. Action on Receipts: • Examination by Officer: • An officer will regularly discuss with his staff to decide course of action to be taken on various cases • Normally single note will be put-up to the decision making level after the line of action is decided • For dealing with important problem solving issues, the technique of writing a self-contained note may be used • This involves entrusting an officer with preparing a comprehensive note which will be put-up straight to the decision making level • The note will contain background of problem, issues arising out of its precedents, if any, analysis of all relevant facts & recommendations

27. Action on Receipts: • Deviation from normal procedures or rules: • In every case where a major or minor infraction, other than trivial of the existing procedures/rules, is sought to be made, it shall be the responsibility of the decision making authority to ensure that reasons are recorded in writing, justifying such a deviation from the rules or procedures • Aids to processing: • To facilitate processing of a case, each section will develop & maintain the following record for important subjects dealt by it. This is maintained in electronic form also in computerized environment • Standing guard files • Standing notes • Precedent book • Standard process sheets • Reference folders containing copies of circulars

28. Action on Receipts: • Aids to processing: • Apart from acts, rules, orders & instructions, each section is expected to maintain, for ready reference, the Constitution of India the acts, rules & instructions of general nature • Each department is expected to procure adequate number of copies of acts, rules & instructions and make them available to all concerned • These acts, rules & instructions accessed electronically if available on web-site • The documentation-cum-reference system will include reference material peculiar to the need of functional sections and consciously developed information system to act as an aid to policy formulation, review and operational decisions

29. Action on Receipts: • Oral discussions: • All points emerging from discussions between two or more officers of same department or between officers of different departments and the conclusions reached will be recorded on the relevant file by an officer authorizing action • All discussions/instruction/decisions which the officer recording them considers to be important enough for the purpose, should be got confirmed by all those who have participated in or responsible

30. Action on Receipts: • Oral instructions by higher officers: • An officer giving direction for taking action in any case in r/o matters on which he or his subordinate has powers to decide, shall ordinarily do so in writing • If the circumstance of the case is such that there is no time to give instructions in writing, he should follow it up by a written confirmation at the earliest • An Officer in performance of his official duties or in exercise of the powers conferred on him, act in his best judgment except when he is acting under instructions of an official supervisor • When he is acting under instructions of an official supervisor, he shall obtain directions in writing wherever practicable before carrying out the instructions • Where it is not possible to do so, he shall obtain written confirmation of the directions as soon thereafter as possible • If the officer giving the instructions is not his immediate superior, but higher in the hierarchy, matter should be brought to the notice of his immediate superior at the earliest

31. Action on Receipts: • Confirmation of oral instructions: • An officer seeks confirmation of oral instructions given by his supervisor, the latter should confirm it in writing whenever such confirmation is sought • Receipt of communications from junior Officers seeking confirmation of oral instructions should be acknowledged by senior officers or their personal staff, or the personal staff of the Minister

32. Office Procedure: File Management • Definition of file • Filing of papers • Papers required to be filed will be punched on left hand top corner & tagged onto appropriate part of file • Both ‘notes portion’ & ‘correspondence portion’ placed in a single file cover • Both ‘notes portion’ & ‘correspondence portion’ of a file are separately numbered. In first page on the top & last page at the bottom

33. Office Procedure: File Management • If file is not bulky, appendix to notes & correspondence may kept along with respective note portion or correspondence portion of main file, if these considered as integral and important part • If file is bulky, separate file covers may be maintained for keeping appendix to notes & appendix to correspondence • Routine receipts & issues will be placed below the file in a separate cover and destroyed when they have served their purpose

34. Office Procedure: File Management • When ‘notes’ plus ‘correspondence’ portion of a file become bulky(exceed 150 pages), it will be stitched and marked ‘volume I’. Further papers on the subject will be added to new volume marked ‘Volume II’ • In Volume II & subsequent volumes of same file, page numbering in notes portion and correspondence portion will be made continuity of the last page number of earlier volume • On top of first page of note portion in each volume, file no,name of department,nameof branch/section & subject will be mentioned

35. Office Procedure: File Management • To facilitate identification of references to papers contained in other files after removal of slips, number of the file referred to will be quoted invariably in the body of the note and relevant page numbers together with alphabetical slip attached thereto, will be indicated in the margin • Rules or other compilations referred to in a case need not be put-up if copies are expected to be available with the officer to whom case is being submitted • Reference slips will be pinned neatly on inside of the papers sought to be flagged. • When number of papers put-up in a case are to be flagged, slips will be spread over the entire width of file so that every slip is easily visible

36. Office Procedure: File Management • Linking of files: • If issues raised in two or more current files are so inter-connected they must be dealt with together simultaneously & relevant files are linked • When files are linked, strings of file board of lower file will be tied around the upper file & those of file board or flap of upper file tied underneath so that each file is intact with all its connected papers properly arranged on its file board

37. Office Procedure: File Management • Linking of files: • On receipt back after action, linked files are delinked after taking relevant extracts & placing them on the linked files, where necessary • In computerised environment file tracking system has facility for easy linkage of files & its subsequent movement

38. Office Procedure: File Management • Use of urgency grading: • Two urgency grading authorised for use on cases are ‘Immediate’ & ‘Priority’ • The label ‘Immediate’ used only in cases requiring prompt attention. • In other cases ‘Priority’ label will be used which merit disposal in precedence to others of ordinary nature • When LokSabha/RajyaSabha labels are used,it is not necessary to use ‘Immediate’ or ‘Priority’ in addition

39. Office Procedure: File Management • Use of urgency grading: • The grading of urgency assigned will be reviewed by all concerned at different stages of its progress and where necessary, revised

40. Office Procedure: File Management • Functional file numbering system: • In the system range and dimensions of subjects falling under the scope of business allocated to a department are analysed • The scope of business of department is analysed under four hierarchical heads namely, • Functional heads • Activity heads • Operation heads • Factor heads

41. Office Procedure: File Management • Functional file numbering system: • Based on above heads,functional file index for various substantive subjects dealt with by a department together with an identifying file numbering system is developed • For opening files relating to establishment, finance,budget & accounts, office supplies and services & other house-keeping jobs common to all departments • Functional file index including its file-numbering system, issued by the dept. of Administrative Reforms & Public Grievances will be followed

42. Office Procedure: File Management • File numbering system based on subject classification: • Each section maintain approved list of: • Standard heads • Standard sub-heads • Standard heads bear consecutive serial numbers. • No such numbers allotted to sub-heads • List of standard heads & sub-heads reviewed at beginning of each year and revised, if necessary, with approval of branch officer • Serial numbers once allotted to standard heads should not ordinarily be changed

43. Office Procedure: File Management • Case-mark system in Dept. of Post: • The correspondences in offices of Heads of Circles,Superintendent of Post Offices and RMS & Head Postmasters should be arranged in files under the case-mark system. • Under this system the whole of the office correspondence is divided into several main divisions, each dealing with a separate subject & to each of these divisions is assigned a letter of the alphabet • The detailed File Head and subject are furnished in the next slide

44. Office Procedure: File Management

45. Office Procedure: File Management

46. Office Procedure: File Management

47. Office Procedure: File Management

48. Office Procedure: File Management • Before opening new file, dealing hand will ascertain the standard head to which paper under consideration relates. He will then propose suitable title of file for approval of section officer • The title of file consist of: • Standard head • Sub-head • Brief content indicating question or issue under consideration • Title should be as brief as possible, but should give at a glance sufficient indication of the contents of the file • Separate file for each distinct aspect of the subject

49. Office Procedure: File Management • If issue raised in a fresh receipt or note on a current file goes beyond the original scope, a new file may be opened to deal with it, after placing the relevant extracts thereon • Every file assigned with file number consist of: • Serial number allotted to standard head • Serial number of file opened during the year under standard head • Year of opening the file ( all four digits) • Abbreviated symbol identifying section • First three elements in file number will be separated from one another by slant stroke and last two by a dash • In computer environment file numbering done electronically. A unique file number automatically generated whenever a fresh file is opened • No new files are opened for dealing with receipts of purely routine nature

50. Office Procedure: File Management • File register: • Files opened during a calendar year kept in a file register to be maintained by the diarist • List of approved standard heads along with serial numbers identifying them should be pasted at the beginning of register • Pages allotted to head in the registers also be indicated against each • Electronic file register will also be maintained in a computer environment