Chapter - VI

Filling System
 Filling System
On receiving a copy of communication
from outside the office or any issue that is to
be dealt within the office, a file is maintained
to keep record of all such papers, this
maintenance of records in the file is called
filling system
 Process of Filling System
All the related papers/ issues/ cases are kept
in same file
For every new or distinct case a new file is
opened
Only one issue should be dealt at one time for
decision in a file
 Process of Filling System
If the issue is too wide or of general nature
then no new file should be opened. This may
be dealt with in any other connected file to
avoid vagueness and delay
Master file must be maintained by each
section that will contain the orders given on
different cases but of same nature
 Process of Filling System
Master file helps on providing the ready
reference whenever required on the related
cases
By maintaining the master file we avoid calling
for any particular order from some where else
for example GPF, Leave rules etc.
 Constituents of File

Every file has two parts

oNotes part
oCorrespondence part
 Notes Part
• The notes side of the file contains the notes
recorded on receiving the communication
• Notes should be written in paragraphs
• Every note excepting the first one should be
numbered
 Correspondence Part
• The correspondence side contains every type of
communication including DO letters
• These communications are tagged on the right
side of file cover
• Extra copies of same communication should be
kept in miscellaneous file cover to avoid bulkiness
in the file
• All the pages in correspondence side should be
numbered
• If any blank page is found that should be scored
out
 Correspondence Part
• After every 100 serial number new file (2nd
part) should be opened
• Every communication, received or issued
together with its enclosures will be given
serial no. on right top corner
• The 1st communication will be marked serial
no. 1 and the subsequent ones will bear
consecutive serial no. in a single series
 Docketing

This means making a list of things to be

done or making a summary or brief statement
of the contents of a document or an abstract.
Docketing is process of making entries in
file about each receipt or issue placed on the
correspondence side to bring it into its correct
perspective in the notes side of the file.
 Procedure for Docketing
Every receipt is docketed by writing in ink
across the page the serial no. of
communication followed by word “receipt”
and by the no., date and designation of the
sender e.g., serial no., 3 (receipt)
OM no. ARI/(9)/27/116 dated 1-8-2014 from
Secretary to Govt. ARI department
Instructions if any, given by officer will be
copied below each receipt for disposal of case
 Procedure for Docketing
An issue will be docketed by entering the
serial no. given on it, followed by the word
“issue” and by no. & date of its issue and the
designation of the addressee e.g., serial no.
6(issue) OM no. ARI(iii)/ 78/ 123 dated 08-09-
2014 to Secretary to Govt. ARI department
After each issue entry a line will be drawn
across the page
 Procedure for Docketing
The name of the department, section and
subject of file will be given on top of first page
of note file before docketing the first serial
Each docketed entry will be recorded in the
notes side in the chronological sequence
 Temporary File
• It is opened when the main file is not available
for some time
• It is desired to consult simultaneously other
sections or officers and it is necessary for the
concerned to go through PUC and other
connected papers
• When main file is available temporary file
should be incorporated in it
 Temporary File
• Distinct no. should be given when more than one
temporary file is opened e.g., GAD/45/7(A) &
GAD/ 45/7(B)
• No separate entry should be made in the file
register but movement register be maintained
• Temporary file normally consists of
• Original PUC / its copy/ other essential papers on
correspondence side
• The notes to be recorded on PUC/ a copy thereof
on the notes side
 Chapter VII

Indexing, Recording and

Consignment of Files
 Indexing
• When a new file is opened in the file register
the record keeper should prepare the index of
file
• An index consists of two parts
a) Title
b) File No.
• The record keeper in consultation with SO
proposes suitable title to file
 Indexing
• The record keeper will type out in duplicate as
many index slips as there are heads and sub-
heads in the title
• The record keeper will also write on file register
and file cover the head, sub-head & contents
• The index slips of section will be kept by record
keeper in safe place
• Index slips of secret & confidential cases will be
prepared and maintained separately by SO
 Title
• Divided into Heads, Sub-Heads and Contents
• Title should be brief and give indication of the
issue to be decided with contents of file to
serve as an aid to its identification
• The word/s in title must be striking and able
to identify itself in the indices. These set of
words is called Head which help in searching
the file easily
• It should not be too wide
 Title
• Sub-head/s should be more indicative of
precise subject of the file than head
• Sub–head/s should be such as would strike
anyone in need of papers contained in the file
• Content of file must be brief as is compatible
with clear expression of exact subject of file
e.g., news paper head lines
 Title
• General language content does not distinguish
file from other related but not identical files
• This also leads to wastage of time
• All this provides help to identify actual subject
related files
• Consistency is required to be maintained
while opening a new file
 File Number
• Each title on index is followed by file number
• This consists of initials distinguishing section,
year and serial number of that file in that year
e.g., GD (1)/14/45 stands for section 1 of
General Department, the year 2014 and file
no. 45
 Recording

The process of closing a file after

action on all receipts has been taken
and the issue finally decided is called
recording in technical terms
 Recording
• File after closing be removed from current/
pending files and kept at separate place
• A closed file after expiry of two years is sent to
central records
• Date note under the file number in file
register should be made
 Recording
A file is considered to be closed:--
a) When no further action is pending on it
b) When complete replies have been sent
to every interested party
In case file is required for reference on some
pending cases, the record keeper should
provide file to concerned section and keep
record of that file with himself so that it is
again kept at its proper place
 Consignment to Central Records
• Closed file sent to central records after 2 years
• Date note under its number should be made in
file register
• Before consignment irrelevant papers should be
destroyed
• Care should be taken that only important papers
are maintained in the file
• For consignment of files orders should be
obtained from officers concerned/ deputy/ under
secretary
 Consignment to Central Records
• List of files be prepared in duplicate and one
copy is sent with files to central records while
another copy is retained in the office for
future reference
• Consignment of files made twice a year in first
week of April and october
• The file that is required in office even after
expiry of due date, the orders of Secretary to
this effect be obtained or asked for
 Consignment to Central Records
• File Registers 10 years
• File Movement Register 02 years
• Peon Book 01 years
• Daily receipt Register 10 years
• Receipt Register 02 years
• Dispatch Register 02 years
• Stamp Register 05 years
• Legislature Question Register 05 years
• Assurance Register 05 years
• Daily Dispatch Register 10 years
 Chapter VIII

Special Sections
 Special Sections
• Establishment Section
• Estates Section
• Petition Section
• Cabinet Section
 Establishment Section
• Proposals for creation of posts in branch of
Secretariat is dealt by branch concerned in
consultation with establishment section of
GAD before issuing the orders
• Recruitment either by promotion or direct
against all vacancies excluding short term
promotions will be made by establishment
section of GAD
 Establishment Section
• The branches of Secretariat will in advance
send the number of vacancies both
permanent or temporary to be filled by direct
recruitment or by promotion including
jamadars &orderlies to establishment section
• The matter of recruitment by promotion is
submitted by establishment section to
establishment committee for selection on
basis of seniority and merit
 Establishment Section
• Establishment committee comprises of
1 Chief Secretary Chairman

2 Secretary to Government Finance Member

Department.

3. Secretary to Government General Member

Administration department

4 & 5 Two Secretaries to Government to be Member

nominated by rotation on yearly basis
 Establishment Section
• SSRB now is referred for making direct
recruitments of eligible candidates as per the
criteria prescribed
• Candidates selected by promotion or direct
will be distributed to various departments by
establishment section of GAD
• The names of candidates allotted to various
branches are communicated by establishment
section to concerned appointing authority
 Establishment Section
• Short term promotion vacancies of non- gazetted
staff, excluding SO, which last for period of six
moths will be filled by concerned branch itself
• Establishment section will among other things fix
seniority of incumbents & maintain general
seniority list of the staff
• Confirmation cases of establishment will be
attended by establishment section in accordance
with the rules
 Establishment Section
• Establishment section will keep close watch
over date of retirement of any official of staff
and issue timely orders for retirement of
incumbent on superannuation, retiring or
invalid pension.
• Transfers will be done by establishment
section as may be administratively necessary
with orders of Chief Secretary
 Establishment Section
• Establishment section with concurrence of
branches concerned depute any official from
secretariat service to some other service in or
outside state on the terms and conditions as
may be fixed in this behalf
• Annual establishment list and other
statements concerning establishment of
secretariat will be prepared by establishment
section
 Estates Section
• Estates section manages and provides the basic
amenities to the staff and officers within
secretariat premises
• Maintains control over and looks after secretariat
buildings, residential quarters constructed by
Government including compounds, lawns and
gardens within premises
• They also provide residential accommodation on
temporary or permanent basis to Govt.
employees
 Estates Section
• Sanction police guard for watch and ward of
Secretariat buildings during day & night and
issue entry passes to visitors at main gate during
office hours
• Provide telephone connections both external and
internal in offices and residences of ministers &
officers of secretariat departments
• Install & maintain electric gadgets within
premises in consultation with electric department
 Estates Section
• Arrange & provide trucks & bags to
departments at the time of move of offices
from Srinagar to Jammu and vice-versa
• Supervise the working of receptionist, store
keeper, plumber, electricians, lift operators,
gate keepers, gardeners, chowkidars and
sweepers in the Secretariat
 Petition Section
• The petition section will receive all petitions
addressed to CM, CS, Minister or MOS by
public
• These petitions are classified into three
categories
– Unimportant, sub-judice or anonymous
– Petition requiring disposal by Govt. Officer
– Serious nature of petitions
Unimportant, sub-judice or anonymous

• In this case no action is desirable or necessary

as subject matter is Unimportant, sub-judice
or anonymous
• Such petitions may be filled
• Its receipt should be acknowledged to
petitioner
• Office copy of acknowledgement & petition is
maintained in general file
• Such petitions are not entered in File Register
Petition requiring disposal by Govt.
Officer
• Such Petition requiring disposal by Govt.
Officer or authority
• This type of petition is forwarded in original to
concerned authority for disposal
• An office copy of forwarding letter is
maintained in general file which is separate
from file maintained for 1st category
• File register is not maintained for such
petitions
 Serious nature of petitions
• Such petitions are serious enough to
necessitate report being called for and
examined
• Such petitions are treated as cases
• File Register for such cases is maintained
• These cases are brought to notice of
competent authorities before action is taken
on them
 Cabinet Section
• The sections of Secretariat submit requisite
number of copies of memorandum for cabinet
• The related file of same is also submitted with
memoranda to GAD
• All this is sent under the cover of dispatch
sheet (SM 13) in triplicate
• Cabinet section enters memorandum in their
register (SM 14)
 Cabinet Section
• File register is not maintained for the same
• Columns 1-4 are filled immediately the case is
received
• Rest of the columns are filled in after the
decision is taken in cabinet
• Cabinet section seeks orders of Minister on
case either by circulating the case by rotation
(SM 16) or by placing it before Cabinet (SM 15)
 Cabinet Section
• When orders are passed on memorandum
they are immediately communicated to
concerned department
• Orders are communicated under the
signatures of Secretary to Cabinet (Chief
Secretary)
• Concerned file is also returned to Department
• Decision number of case is given by reference
to Decision Register (SM 17)
 Cabinet Section
• Four copies of Government order passed in
Cabinet are sent by concerned section to
Cabinet section for their information and
further necessary action
 Chapter IX

Legislature
 Treatment to Questions
• Three copies of each question after being
submitted in Legislative Secretariat are sent to
concerned section of department for seeking
information/ reply
• On receiving copy of question, it should be
flagged with assembly/ council business
• Question should be treated as immediate by
all concerned from the moment of their
receipt
 Treatment to Questions
• Question which does not pertain to the section
should immediately be dispatched to concerned
section/ department under intimation to
legislative Secretariat by the order of Deputy/
Under Secretary
• Question pertaining to section should be marked
to SO who will submit one copy to Secretary as
fresh receipt, immediately proceed to take action
on other copy and keep the 3rd as office copy
 Duties of Assistant dealing with
AQ/ CQ
• Assistant will maintain separate registers for
assembly and council questions
• He will enter all questions in blank register
allotting one full leaf to one question
• The office copy and other related papers will
be kept in same register at its allotted place
• A copy of question with its reply, after it is
prepared, should be pasted on the allotted
page in register
 Procedure to Answer Question
• Answer should be furnished to Legislative
assembly as soon as it is possible but not later
than the day preceding the date fixed
• Answer should be approved by the minister in-
charge
• Serious effort should be made to collect required
information
• In case answer is not ready in time due to lack of
information, this should be brought in the notice
of Legislative Secretariat
 Procedure to Answer Question
• Doubtful and un-verified statements of facts
should be avoided
• Reference to name should be omitted even
when the question specifically refers to name
• Reply to question is furnished in 35 copies to
Legislative Assembly as well as to department
of Parliamentary Affairs
 Procedure to Answer Question
• In case of starred question note should be
appended to the reply for use of minister
containing material for answering possible
supplementaries
• Reply to question should be recorded as
confidential until these replies are delivered in
Assembly Secretariat
Assurances given on Floor of House
• Every department will separately record of
promises and assurances given by minister in
Legislative Assembly/ Council
• These are fulfilled as soon as information
becomes available
• The record of such assurances is kept in
Register of Assurances (SM 18)
• Register will be submitted once a month to
Deputy/ Under Secretary for information
Assurances given on Floor of House
• The minister is kept informed of progress
made in implementation of promises and
assurances/ reasons for delay if any
• Every month consolidated statement showing
action taken is prepared by Law &
Parliamentary Affairs department for sending
to Legislative Assembly/ Council
Assurances given on Floor of House
• Each assurance and promise given on floor of
house will be given number in file register &
treated as case
• All other Legislative businesses are treated as
case & entered in file register to be processed
accordingly
 Chapter X
Inspections and
Preparation of Returns
 Inspections
• To exercise effective control over offices, the
sections should be inspected every quarter by
an officer of the rank of Deputy/ Under
Secretary (Appendix XVI)
• These inspection reports should be submitted
to the Secretary concerned
• The Secretary should inspect the office at least
once a year and record his observations
 Inspections
The inspecting officers should ensure that:
The office orders issued are being carried out
and the rules of procedure provided in the
Manual are strictly enforced
The officials are invariably present and attend
to their work effectively during office hours
All the officials are maintaining high standards
of discipline and conduct
Record keeper is regularly submitting
fortnightly, monthly, half yearly and yearly
arrears statement of references
 Arrears statement
• Record keeper prepares statement of pending
references (SM 20) to be checked & certified
by SO before submitting to an Officer
• SO on last working day of each month will
scrutinize monthly statement of cases pending
for final disposal submitted by RK & indicates
actual position of pending business in section
• This enables officer to watch progress of work
and take steps to expedite action on all cases
 Monthly Report of Recording of Files
Record keeper will prepare & submit
statement about recording of files
Number of files left for recording at end od
previous month
Number of files due for recording during the
month
Total number of files for recording during the
month
Balance
Reasons for arrears if any
Half Yearly Statement of Consignment
of Files
Record keeper will prepare & submit statement
about consignment of files to central records
Files are consigned twice a year-in first week
of April and October
Number of files to be sent to central records
Number of files sent
Reasons for arrears if any
 Arrears statement of Officers
Once a fortnight SO prepares and submits
to each officer separately list of cases
submitted to him till the last day of preceding
fortnight and are not received back
 Time Limit Prescribed for Disposal of
References
• DO letter should be disposed off within two days
of receipt under signatures of officer to whom it
is addressed
• The first reminder should be followed by another
after a weeks time & if this does not evoke any
response within week then DO letter be issued
• Telegrams were replied one day after receipt but
now this form of communication ha been
stopped from 15th august 2013
 Time Limit Prescribed for Disposal of
References
• Express letters should also be responded within a
day
• Reply to UO cases should be sent within week
along with concrete opinion/ comment
• Other letters & office memorandums shouldf be
replied by stipulated date and this should not
exceed one week from receipt of such
communication
• Reply to GOI be furnished by date desired in
letter or within period not more than one week
of receipt of references