Presentation on theme: "DDA Files Creation Review Weeding Recording. Why it is necessary to retain records. It becomes necessary to retain records- (i)for planning and scheduling."— Presentation transcript:
Why it is necessary to retain records. It becomes necessary to retain records- (i)for planning and scheduling Government’s activities as information required for this purpose cannot be retained by human memory; (ii)Retention of record is a legal requirement in certain cases (iii)for fixing responsibility for matters coming before Audit & Parliament, & its Committees & other public bodies
(iv)for historical value. (v)for ensuring element of rationality. (vi)to make available needed facts, figures, correspondence, etc, for future planning. (vii)to ensure continuity in administration. (viii) to ensure impartial treatment to all citizens. (ix)to ensure that tax-payers’ interests are protected at all times and that there is no irregularity in financial transactions; and (x)for providing evidence in cases of dispute.
Unauthorized Communication of Official information & Documents Unless authorized by general or specific orders, no official will communicate to another official or a non-official, any information or document which has come into his possession in the course of his official duties.
PROBLEM OF RECORDS 1.In view of the proliferation of Govt. activities in all spheres, the paper record has multiplied manifold and has increased beyond all proportion. To give an idea of the immensity of the problem, one may go through the report of the Tara Chand Committee of Archival Legislation of 1960, in which the total accumulations of Central Ministries and other Government Departments and Organizations had been estimated about 40
and 136 linear miles of shelving respectively, the total being 11 times the size of the National Archives Repository, all the departments of the Central Govt. had been estimated at Rs. 2 Crores. A proper check on the growth of records is, therefore, essential right from the stage of creation.
2. In order that the Record Management should be effective, the records should serve the following objectives:- (i)They should serve some useful purpose lest they become waste. (ii)The Records should be kept in such a way that they should be capable of being retrieved quickly. (iii) There should be control on the growth of record at its inception itself. (iv) Records should neither be prematurely destroyed nor retained for a longer period.
(v)Records must be kept systematically arranged so that there should be no delay in their location. (vi)There should be constant weeding and review of the records so that the cost of maintenance of records is kept to the minimum.
FILING Papers to be filed need to be punched and tagged securely. Note LHC and correspondence RHC. With individual tags. When the file becomes 100 pages or marginally more with the last note/correspondence. The file volume be closed and marked Volume-I. To secure the file, it is to be stitched.
FILING SYSTEM (a) Numbering. (b) Subject / Matter. (c) Linked issued. (d) Functional filing system Main functions of the Department. Activities in each of functions Aspects of operations in each of the ops. (e) There are many occasions when no new file needs to opened- routine info, holidays, unclassified factual information, etc.
(f) File register to account for the files and should Handed Over/ Taken Over at the appropriate level. (g) Part file can be opened however it should be incorporated with the main file as soon as possible. Remove all duplicate papers. (h) Files when transferred from one Department to another will be renumbered in the receiving Department and originators asked to close the file at their end.
FILE INDEX REGISTER STANDARD HEAD NO………. STANDARD HEADING……… File No. (1) Subject (2) Date of OpeningClassifica tion (and year of review) (5) Remarks (3) Opening (3) Closing (4)
Routine receipts and issues should not be allowed to clutter the file. They will be below in a separate cover. Please note if an annexure / appendix are bulky these are put in separate covers.
DRAFTING Not for routine cases, they must be put up fair. It is for the superior to give his/ her views thereafter. Only for difficult cases can the superior call for a draft. In that case the final has to be signed by the superior. Drafts when put up will have the initials and appointment of the drafter. Here again drafts should be crisp, focused and to the point of business in due consideration Complicated issues must have an introduction and conclusion.
URGENCY Only two annotations are authorized, Immediate and Priority. Immediate cases requiring prompt action surpassing other files may be moved by hand with approval of competent authority. Priority this Supersedes ordinary files. Use urgency grades with due care.
RECEIPT Organize for speedy and correct decision. An Officer will himself/ herself initiate action as far as possible. Number of levels to be reduced to the minimum. Least possible time be taken for examination and disposal of cases. While marking letters, down, time-frame must be indicated for return with inputs.
ACTION By dealing hand, go through the letter, diary, mark for appropriate file in case of new letters. AD either dispose the letter at his /her level or mark it upward with proper response. Dealing branch to check all inputs are correct. They could be:- (a)Standard process. (b)Decide level for disposal. (c)Direct submission by Dealing Assistant. (d)Examination by Officer.
(e)Putting up summary of facts for difficult cases. (f)Notes to be concise to the point leading to logical decision. (g)The section ought to have standing guardfile, standing notes, precedent book, reference folder containing copies of circulars. All the above will aid processing.
LINKING OF FILES Issues in two or more files are interconnected. They must be dealt together simultaneously. Linking is by use of file boards i.e. attaching connected files with file boards Not(R) Not with tags of the file flaps.
RECORD MANAGEMENT Recording Retention Retrieval
RECORDING Files should be recorded once action is complete. Those having future need to be recorded others destroyed mentioned in file index register.
PROCEDURE FOR RECORDING After action is completed the dealing hand ie who is responsible for the file in consultation with his superior close file. Indicate the appropriate classification. A, B, or C, Details later. Get the file indexed unless it for less than 10 years. Extract from the file important decisions, documents for future reference to be put in guard file/ precedent book(manual).
Remove from the file all superfluous papers such as reminders, acknowledgement, routine slips, working sheets, rough drafts, surplus copies – destroy them. Complete all references mark previous and later references on the file cover. The word recorded in red ink must be marked in the file index register. While sending file for recording fresh covers are used to meet with all instructions.
CLASSIFICATION OF RECORDS As indicated earlier they are A,B &C Class A meaning keep & micro film, records of value for administrative purposes. Class B records of historical importance Class C routine files of differing importance dealing with regular/ current issues
A. Records of value for administration purposes. Papers of the following categories will normally by among those required to be kept indefinitely for administration’s use:- (1)papers containing evidence to rights or obligations of or against the Govt., e.g., title to property, claims for compensation not subject to a time – limit, formal instruments such as awards, schemes, orders, sanctions, etc.
(2)Papers relating to major policy decisions, including those relating to the preparation of legislation. (3)Papers regarding, constitution, functions and working of important committees, working groups, etc. (4)Papers providing lasting precedents for important procedures, e.g., administrative memoranda, historical reports and summaries, legal opinion on important matters.
(5)Papers concerning rules, regulations, departmental guides or instructions of general application (6)Papers relating to salient features of organization and staffing of Govt. departments and offices. (7)Papers relating to important litigation or causes in which the administration was involved.
B. Records of Historical importance. Much of the material likely to be preserved for administrative purposes will be of interest for research purpose as well; but papers of the following categories should be specially considered as of value to historians:- (1)Papers relating to the origin of a department or agency of Govt. ; how it was organized; how it functioned; and (if defunct) how and why it was dissolved.
(2)Data about what the department/agency accomplished. (Samples by way of illustration may be enough; but the need for such samples may be dispensed with where published annual reports are available). (3)Papers relating to a change of policy. This is not always easy to recognize, but watch should be kept for. (a) Summary for the Minister, L G&V C. (b) The appointment of a departmental or inter departmental committee or working group
(c) Note for the Cabinet or a Cabinet Committee. Generally there should be a conscious effort to preserve all such papers, including those reflecting conflicting points of view. In the case of inter departmental committees, however, it is important that a complete set of papers be kept only by the departments mainly concerned – usually the one providing secretariat.
(4)Papers relating to the implementation of a change of policy, including a complete set of instructions to executive agencies, etc., and relevant forms. (5)Papers relating to a well-known public or international event or cause, or to other events which gave rise to interest or controversy on the national plane.
(6)Papers containing direct reference to trends or developments in political, social, economic or other fields, particularly if they contain unpublished statistical or financial data covering a long period or a wide area. (7)Papers cited in or noted as consulted in connection with, official publications. (8)Papers relating to the more important aspects of scientific or technical research and development.
(9)Papers containing matters of local interest of which it is unreasonable to expect that evidence will be available locally, or comprising synopsis of such information covering the whole country or a wide area. (10) Papers relating to obsolete activities or investigations, or to abortive schemes in important fields.
(11)Any other specific categories or records which, according to the departmental instructions issued in consultation which, according to the departmental instructions issued in consultation with the national archives, have to be treated as genuine source of information on any aspect of history- political, social, economic, etc., or are considered to be biographical or antiquarian interest.
Retention Schedule for Records Prescribed in the manual of Office Procedure SN O. DESCRIPTION OF RECORD RETENTION PERIOD(YEARS) 1Dak register1 2Invoice1 3Section diary3 4Movement slip of receipts To be destroyed after the relevant receipts have been received in the section concerned. 5Assistant’s diary1 6Standing guard filesPermanent. The earlier version of these records will normally be weeded out as soon as the revised version becomes available.
7Standing noteSame as above 8Distribution chart1 9Typist’s diary1 10Issue diary1 11Dispatch register5 12Postal registration books5 13Receipts of telegrams1 14Register of daily abstract of stamps used.5 15Messenger book1 16Stamps account register5
17Weekly statement of cases disposed of without reference to minister 1 18File Register15 19File movement register1 20Register for watching the progress of recording 3
21Precedent bookPermanent 22List of files transferred to (a)Departmental record room (b)National Archives 25 Permanent 23Record Review register1 24List of files received for review 1
25Register of spare copies of publications, circulars, orders etc 1 26Record requisition cardTo be destroyed after the requisitioned file has been returned to the National Archives.
27Weekly arrear statement1 28Case sheets of cases pending disposal over a month 2 29Numerical abstract of cases pendeig disposal for over a month 1 30Consolidated numerical abstract of cases pending disposal for over a month in the various sections of the department 3 31Monthly Progress report on recording of files1 32Reminder diary1
33Register for keeping a watch on communications received from MPs. 1 34Register of Parliamentary assurances1 35Check –lists for periodical reports1 36Inspection reports1 year after the date of next inspection.
Note: The retention period will be reckoned with reference to the date from which the record ceases to be current / active. Where, however, it is proposed to weed out a register wherein certain entries are still current, eg. File movement register where certain files entered therein have not been recorded or the register of assurances, where certain assurances have not been implemented, the current entries will first be transferred to the new register and the old register weeded out thereafter.
Systematic Arrangement of Records. The records must be kept systematically to ensure that there is no delay in their location. Functional Filing System allows for better arrangement and easy location. In addition to this, the following requirements should be complied with to ensure that no unnecessary time is wasted in the location of the record:-
(i)Records transferred by a Section to the Departmental Record Room should be accompanied by the list of files in duplicate to enable the Record Room to verify the correctness of files transferred, after the list has been verified, one copy of the list would be kept in the Departmental Record Room and other will be returned to Section. In the event of dispute, list will serve the evidence whether a particular file has been transferred to the Record Room or not.
(ii)Record of files will be issued from the Section, Departmental of Archival records only against requisition slip. The requisition will be kept in the place of file issued. If a requisitioned file initially obtained for being put up in one case, is subsequently put up with another file, a fresh, requisition should be given to the Section Daftry or sent to the Departmental
(ii)Record room or the National archives as the case may be to ensure that there is no delay in locating the correct movement or recorded file. Cont.
(iii)Files obtained by a Section from the Departmental Record should normally be returned within 3 months. If they are not received back within 3 months, the departmenatal Record Room will remind the Section concerned to ensure that file is not mixed up and that the Section is aware that the file is with them so that there is no delay in location in case it is required subsequently.
For the purpose of issuing reminders, the Record Room will maintain a simple register for keeping record of the files issued to the various sections each month. A similar register will be maintained by each section as a Record of files borrowed from it by other sections.
In order to ensure that the cost of maintenance of record is reasonable, it is necessary that the size of records should not occupy more than 10% of the total area allotted to a particular Department. The details of procedure regarding review and weeding are contained in the manual of office procedures.