Welcome 1. Office procedure – terms used Appendix to correspondence Appendix to notes Branch...

Welcome

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Office procedure – terms used

Appendix to correspondenceAppendix to notesBranch OfficerCaseCentral issue sectionCentral issue and receipt sectionCentral registryClassified dakCitizen/Client’s Character

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Come-back caseCorrespondence portionC.R.NoCurrent fileDakDealing handDepartmentDepartmental indexDepartmental instructions

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Departmental Record OfficerDeskDesk functionaryDiaristDiarisingDiary numberDivisionDocketingFile

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Final disposalFresh receipt Indexing Index slip Information & Facilitation counter Issue Issue of fair communicationMessenger BookMinute

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NoteNodal MinistryOrdinary postal dakParlimentary mattersPersonal staffPostal CommunicationPostal dakReceiptRecord clerk

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RecordingReference folderRoutine noteSecretariat OfficesSectionSectional noteSection officerSecurity gradingStanding guard file

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Standing fileStandard process sheetUrgent dakWing

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Quiz

Quiz on the terms used in Office Procedure

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Dak Receipt,Registration,DistributionReceipt 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

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Dak Receipt,Registration,DistributionAcknowledgement:

Receipt of dak, except ordinary postal dak, will be acknowledged by receipient

Acknowledgements of e-mail received sent electronicallyRegistration of dak:

Urgent dak separated from ordinary dakAll 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 11

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 12

Department of ………………………………………………

Received on ……………………………………………………..

C.R/I.F.C.No………………………………………………………

Sec.Dy.No…………………………………………………………

Dak Receipt,Registration,DistributionDistribution 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 receivedOther dak may be distributed at suitable intervalsUrgent 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. 13

Receipts-Submission & DiarisationPerusal & marking of receipts by section officer:

Go through receiptsForward misdirected receipts to sections concernedSeparate the dak to be seen by higher officers before

they are processed and marked to officers concernedMark 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 14

Receipts-Submission & DiarisationDiarising of receipts in sections:

Each section maintain section diaryDiarist will diarise in section diaryInter-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 15

Receipts-Submission & DiarisationDiarising 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 twiceIn computerised diary system no receipt be diarised

more than onceMovement 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 16

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 minimumLeast possible time will be taken for examination

and disposal of casesWhile disposing cases, an officer will aim at

optimising the quality

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Action on Receipts:Action by dealing hand:

Go through the receipts & separate urgent receipts from rest

Enter receipts in assistant’s diaryDeal with urgent receipts firstCheck enclosures and if any found missing, initiate

action to obtain itIf any other section is concerned with any part and if

so, send copies or relevant extract to that sectionBring 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 numberDocket the receipt & reproduce on the notes portion

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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 officerIndicate date of submission in column 5 of assistant’s

diary. In computerised diary system indicate details of submission at appropriate column

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Action on Receipts:Action by Section Officer:

Scrutinise note of dealing handFinally dispose of routine casesTake intermediate routine actionRecord, where necessary, a note setting out his own

comments or suggestionsSubmit case to appropriate higher officerIn computerised environment also make suitable

entry in the electronic diary register

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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 correctPoint out mistakes, incorrect statements, missing data or

information, if anyDraw attention, if necessary, to the statutory or customary

procedure and point out the relevant law and rulesFurnish other relevant data or information available in the

department, if anyState the questions for consideration and bring out clearly

the points requiring decisionDrawn attention to precedents

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Action on Receipts:Examination by section:

In other cases, the section, while putting up a case, will:Evaluate relevant data and informationSuggest, where possible, alternative courses of action for

consideration

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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

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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

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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

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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

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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 filesStanding notesPrecedent bookStandard process sheetsReference folders containing copies of circulars 27

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

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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

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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 30

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

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Office Procedure: File Management Definition of fileFiling 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

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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

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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,name of branch/section & subject will be mentioned34

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

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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

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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

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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 Lok Sabha/Rajya Sabha labels are used,it is not necessary to use ‘Immediate’ or ‘Priority’ in addition

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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

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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 headsOperation headsFactor heads

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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 41

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-headsList 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

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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

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Office Procedure: File Management

CIRCLE OFFICEFile Head Subject (Section of the Circle Office)

A & P Accounts & Pension

STY Office Stock & Stationery

Bgt. Budget

CR Central Registry

CPT Complaints

Eng Engineering

Est. Establishment

Est.(Plg) Establishment

Inv. Investigation

Mails Mails & Sorting

O & M O & M

LI Postal Life Insurance44


CIRCLE OFFICEFile Head Subject (Section of the Circle Office)

SB Savings Bank

Staff Staff

SD Stock Depot

Tech. Technical

WLF Technical(Welfare)

TFC Traffic

Vig. Vigilance

Gen General

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POSTAL DIVISIONFile Head Class of correspondence

A Creation & revision of establishment; opening and closing of PO’s and mail lines; changes in the status of offices

B Appointments, nominations, transfers, deputations, leave, punishments, security bonds, service books and all other personal matters excepting pensions & gratuities

C Pensions & gratuities

D Post Office building and runners’ hut

E Accounts, travelling allowances and transit pay; references from the Audit office

F Robberies; losses;fraud;serious irregularties committed by PO Officials

G Due mail and sorting lists; postal notices;notices of hours of business; opening and closing of letter boxes

H Experimental Establishment

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POSTAL DIVISIONFile Head Class of correspondence

I Mansoon arrangements, ordinary and extra ordinary

J Indents and requisitions; sanctions of contigent expenditure

K Information for annual report

L Petty irregularities; miscellaneous

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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-headBrief 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 subject48

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

headYear 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

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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

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Office Procedure: File Management Part file:

If main file is not likely to be available for some time & it is necessary to process a fresh receipt without waiting for its return, a part file may be opened to deal with it

This device may be resorted to where it is necessary to consult simultaneously two or more sections/officers

A part file will normally consist of receipt or note dealt with & notes relating thereto

Where two or more part files are opened,each will be identified by distinct number

Part file will be merged with main file as soon as possible & duplicate papers, if any be removed

Appropriate electronic entry for opening of part file will be made in a computer environment

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Office Procedure: File Management Transfer, reconsideration & renumbering of files:

When work is transferred from one department/section to another, the former will promptly transfer all related records including files, both current & closed, to latter

The department/section taking over the records will not divide, reclassify or renumber the closed files transferred to it

In case of current files, endeavour should be to close them at the earliest possible stage and open new files according to department/section’s own scheme of classification for dealing with the matter

A file will be reconstructed if it is misplaced

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Office Procedure: File Management Movement of files and other papers:

Movement of files entered in file movement registerWhen current files are linked, movement of linked files

marked in space allotted in file movement register for each of linked files

When recorded files are put-up with a file, the movement of recorded files will be marked in the space allotted in file movement register for file with which these are put-up

Movement of files received from other depts/sections & other receipts which have not been brought on to a file in receiving section will be noted in ‘remarks’ column of the section diary

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Office Procedure: File Management No current file will be issued to other sections except

against written requisition and making entry in file movement register

Files & other papers marked by Under Secretary to other officers, sections/departments will be routed through section for noting their movement

When files are handed over personally by Under Secretary to other officers, he will inform the section officer and section officer will watch movement

Personal staff of officers of rank of Deputy Secretary ad above will maintain the movement of papers received by their officers in the personal section diary

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Office Procedure: File Management Papers/files marked by them to other departments,

will be routed through the section officer concerned for noting movement in file movement register

In computer environment the movement of files will be recorded electronically at every stage

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Welcome 1. Office procedure – terms used Appendix to correspondence Appendix to notes Branch...

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