Filing System and Record -4


In this system, the range and dimensions of the subjects falling under the scope of business allocated to a department are analysed in the following sequences: –

  1. The main functions of the department
  2.  The activities in each of these functions.
  3. The aspects or operations involved in each of these activities; and
  4. The factors to be taken into consideration relating to each of these aspects or operation.

The scope of business of a department is thus analysed under four hierarchical divisions, and accordingly the following four standard lists of headings are prepared: –

  1.  Functional heads which may be called basic heads
  2. Activity heads which may be called primary heads as related to each functional head;
  3. The aspects or operation heads which may be called secondary heads as related to aspects or operation heads.
  4. Factor heads which may be called tertiary heads as related to aspects or operation heads.

Based upon the above lists of heads, a functional file index for the various substantive subjects dealt with by a department together with an identifying file numbering system is then developed.

        For opening files relating to establishment, finance, budget and accounts, office supplies and services, and other house-keeping jobs common to all departments, the standardized functional file index including its file- numbering system, issued by the department of administrative reforms and public grievances, will be followed.

        Opening and numbering of new file: – (i) Each section will maintain an approved list of main subjects bearing consecutive serial numbers. The list will be scrutinised and brought up to date at the beginning of every calendar year. As far as possible standard heads will be allotted to same numbers year after year. A new head may be added to the list with the approval of the section officer during the course of the year, if found necessary.

(ii) When it is necessary to open a new file, the assistant will first ascertain the standard head under which it should be opened. He will then prepare a suitable title and allot it a serial number under the standard head after consulting the file register.

(iii) The number given to the file will consist of the number of allotted to the standard head, the serial number of the file under the standard head, the year in which opened, and the initials of letters used for identifying the sections. Thus, files opened in the public sections to the ministry of home affairs during the year 1995

                  Separate file for each distinct subject. There should be a separate file for each distinct subject. If the subject of a file is too wide or too general, there will be tendency to place in it receipt dealing with the different aspects of the matter which apart from making the file unwieldly will impede business. If the issues raised in a receipt or in the notes or in the orders passed there on go beyond the original subject, relevant extracts should be taken and deal with separately on new files.

                 File register- a record of the files opened during a calendar year will be kept in a file register. As soon as a new file is opened, the assistant will inform the clerk maintaining the register of the number and subject allotted to it for making an entry in the register.

                Movement – All movement of a file will be routed through the clerk in charge of the file register who will keep a record thereof in the relevant columns of the register.

                Routine note or papers- notes or casual discussions on points of secondary importance, routine correspondence like reminders, acknowledgements etc and notes intended to elucidate minor points of detail which are of an ephemeral nature, should not be allowed to clutter up the main file. They should be treated as routine papers and placed below the file in a separate cover and destroyed when they have served their purpose.

                 Filing of official, demi-official and un-official communications. (i) Official and semi-official communications. – all the official and demi- official communication will be included in the correspondence portion of a file.

(ii) un-official communications. – self-contained unofficial references and replies thereto should be included in the correspondence portion of the file. Un-official references which are to be returned in original file. A copy or a summary of the un-official reference, together with a copy of the note recorded on the file of the originating ministry in reply, should be retained, when necessary and placed in the notes part of the file.

               Referencing and use of slips. – (i) referencing is the process of putting up and referring ton connected records, precedents, rules, regulations, books. Such papers will be flagged with alphabetical slips to facilitate their identification.

(ii) The slip will be pinned neatly on the inside of the page. When a number of files or papers on the same case are to be flagged, the slips should be spread over the whole width of the file so that every slip is easily visible.

(iii) The slip “P. U. C” should be attached to the paper normality a primary receipt, the consideration of which is the subject matter of the file. The latest communication or a subsidiary receipt which is to be considered in relation to the subject should be flagged fresh receipt.

(iv) No slip other than P. U. C or F.R. will be attached to any paper on a current file reference.

(v) not more than one alphabetical slip should be attached to a recorded file or paper put up for reference.

(vi) it should be remembered that the slips are merely a temporary convenience for the quick identification of papers and should be removed as soon as they have served their purpose. To facilitate the identification of references after the removal of slips, it is necessary that the number of the file referred to should be quoted in the body of the note and the number of the relevant page together with the letter of the slip attached.

(vii)  Books or rules etc referred to need not be put up on a file if copies thereof are available with officer to whom a case id submitted. This should, however, be indicated in the margin of the notes in pencil.

                Linking of files – Linking of files on which action is in progress will, as far as possible, be avoided. As a general rule, this will be restored to only when the files are inter-connected and orders have to be passed on them simultaneously. If any papers on a current file are required for reference only in connection with the disposal of another current case, relevant extracts should be taken from the former and placed on the later.