NEW RETENTION SCHEDULE BY UPSC : A HUMBUG

THIS IS THE PROCEDURE IN TERMS OF ANY CHANGE IN ITS RETENTION SCHEDULE. TO BE ADOPTED BY ANY PUBLIC BODY. IN THIS CHANGE, NAI PLAYS AN IMPORTANT ROLE, WHICH HAS BEEN NEGLECTED BY UPSC, TO MAINTAIN ITS MONOPOLY AND TO SAVE ITS HANDS FROM BANDOPADHYAYA'S DECISION... THESE ARE THE EXCERPTS FROM A DOCUMENT FROM DEPARTMENT OF PUBLIC GRIEVANCES AND ADMINISTRATIVE REFORMS, "RECORDS RETENTION SCHEDULE IN RESPECT OF RECORDS COMMON TO ALL MINISTRIES/DEPARTMENTS "

CHAPTER XII-RECORDS MANAGEMENT

Activities involved in records management 102 56

Stage of recording 103 56

Procedure for recording 104 56

Categorization of records 105 57

Stage of Indexing 106 57

Manner of Indexing 107 58

Custody of Index slips 108 59

Compilation of departmental index 109 59

Precedent Book 110 59

Record Retention Schedule 111 59

Custody of Records 112 60

Review and weeding of records 113 61Content Para No. Page No.

Records maintained by officers and their personal staff 114 62

Requisitioning and restoration of records 115 6CHAPTER XII

RECORDS MANAGEMENT

102. Activities involved in records management

(1 ) Records management covers the activities concerning mainly recording, retention,

retrieval and weeding out.

(2) Each record creating agency will nominate, in pursuance of provisions of the Public

Records Act, 1993 and the Public Records Rules, 1998, a Departmental Records Officer

(DRO) who is not below the level of a Section Officer for overall records management of

the organization as a whole and liaison with the National Archives of India.

103. Stage of recording—Files should be recorded after action on the issues considered thereon

has been completed. However, files of a purely ephemeral nature (such as casual leave records or

circulars of temporary nature) containing papers of little reference or research value may be destroyed

after keeping for one year without being formally recorded.

104. Procedure for recording —

(1) Action for Recording :

After action on the issue(s) considered on the file has been completed, the dealing hand/

initiating officer, in consultation with his supervisory officer, should close and record the

file in the manner prescribed below :

(a) indicate the appropriate category of record (vide para 105 below) and in the case of

category ‘C’, also specify the retention period and the year of review/weeding on the

file cover; for non-file documents, indicate the number of years for retention on the

front cover.

(b) where necessary, revise the title of the file so that it describes adequately the contents

at that stage;

years from the date of closing.

(d) extract from the file, copies of important decisions, documents, etc., as are

considered useful for future reference and add them to the standing guard file/standing

note/precedent book/reference folder, etc.;

(e) remove from the file all superfluous papers such as reminders, acknowledgements,

routine slips, working-sheets, rough work drafts, surplus copies, etc., and destroy

them;

(f) complete all references and, in particular, mark previous & later references on the

subject, on the file cover;

(g) pass on the file to the record clerk;

(2) Action on Recorded Files

The record clerk will thereafter :

(a) complete columns 4 and 5 of the file register and correct the entry in column 2 (i.e. the

subject, if revised), where necessary;57

(b) enter the file number in column 2 of the register for watching progress of recording

(Appendix 24);

environment), across the entries in the file movement register;

(d) indicate page numbers and other references (except references to alphabetical slips) in

ink which were earlier made in pencil

(e) indicate the year of review on the file cover in respect of category ‘C’ files;

(f) prepare fresh covers, where necessary, with all the entries already made thereon; and

(g) hand over the file to the daftry/peon.

(3) The multi skilled staff will repair the damaged papers, if any, stitch the file and, show it to

the record clerk for making entries in the register for watching progress of recording (Appendix 24)

before keeping it in the bundle of recorded files.

105. Categorization of records :—Files may be recorded under any one of the following categories :

(1 ) Category ‘A’ meaning ‘keep and microfilm’ -This categorization will be adopted for :

(a) files which qualify for permanent preservation for administrative purposes (vide part

‘A’ of Appendix 25) and which have to be microfilmed because they contain :

(i) a document so precious that its original must be preserved intact and access

to it in the original form must be restricted to the barest minimum to avoid its damage or

loss; or

(ii) material likely to be required for frequent reference by different parties

simultaneously/frequently.

(b) files of historical importance such as those listed in Part ‘B’ of Appendix 25.

(2) Category ‘B’ meaning ‘keep but do not microfilm’-This category will cover files required

for permanent preservation for administrative purposes, such as those listed in part ‘A’ of

Appendix 25. It will, however, exclude the nature of material falling under the category

described in (i) or (ii) of sub-para (1) (a) above and therefore need not be microfilmed.

(3) Category ‘C’ meaning ‘keep for specified period only’. This category will include files of

secondary importance having reference value for a limited period not exceeding 10 years.

In exceptional cases, if the record is required to be retained beyond 10 years it will be

upgraded to B Category.

106. Stage of indexing - Files will be indexed at the time of their recording. Only those files which

are categorized as ‘A’ and ‘B’ (vide para 105) will be indexed.58

107. Manner of indexing -

(1 ) While preparing a file for record (vide para 104) the dealing hand or the desk assistant

will underline :

(a) the ‘index head’, i.e., the standard head or the most important catch-word in the standard

head which will naturally occur to any official searching for the file and which will

determine the position of the relevant index slip in the consolidated index; and

(b) the ‘index sub-head’, i.e. the catch-word or catch-words in the standard sub-heads

and/or the ‘content’ of the title which will give a further and more specific clue to the

file under search.

(2) Where the functional filing system is followed, files need not be indexed under the basic,

primary, secondary and tertiary heads for which the classification scheme itself will provide

the master index. However, such files will have to be indexed under the catch-words

used in the content part of the title which falls outside the standarised headings.

(3) After index heads and sub-heads in the title have been approved by the section officer/

desk functionary, the record clerk/desk assistant will:

(a) type out in duplicate, as many index slips as there are index heads and sub-heads

underlined in the title;

(b) distinguish the index heads from the sub-heads by typing the former in capital

letters;

title, one below the other, followed by the complete title of the file and the file number,

as per specimens in Appendix 26.

(d) allot a pair of slips to each index head and sub-head by scoring out entries relating

to the others as per specimens in Appendix 26.

(e) arrange the index slips in two sets, one in alphabetical order of the heads/sub-head

for use in the section, and the other in the sequence of file numbers for the use of

the compiler of the departmental index;

(f) keep each set of a paper index slips in separate spring clip folders for each year;

and

(g) indicate the date of indexing on the file cover and initial it in the space provided for

the purpose.

(4) Index slips will normally be typed on good quality paper. In the case of important files

requiring frequent and urgent reference, however, card indices could also be prepared.

Even here, the duplicate set meant for incorporation in the departmental index will be

typed on good quality paper. Card indices, where maintained, will be kept according to an

alphabetical order of their respective catch-words, in a single series for all the years.

Each department will issue departmental instructions specifying the categories of file in

respect of which card indices will be maintained.

(5) To ensure consistency and facilitate consolidation of departmental index, files relating to

parliamentary business will be indexed not only under the appropriate standard heads

and sub-heads but also, under the nature of such business, e.g. parliament questions,

cut-motion, resolutions etc.59

108. Custody of index slips—

(1) Index slips will remain in the custody of the record clerk.

(2) After all the files relating to a year have been recorded, the set of index slips in respect of

that year meant for use within the section (viz. that arranged in alphabetical order) will be

neatly stitched and the stitched compilation kept at a convenient place for reference by all

concerned.

109. Compilation of departmental index —

(1 ) The index slips pertaining to files relating to a year will be sent to the compiler of the

departmental index one year after the close of the year to which they relate. If some files

of that year still remain current even at the time of sending the index slips as envisaged

above, the dealing hand, with the approval of the section officer, will prepare index slips in

respect of such files as are likely to be retained for 10 years or more from the date of

recording. These will also be added to the set of slips being sent to the compiler of the

departmental index.

(2) The compiler of the departmental index will :

(a) edit the index slips by :

(i) allowing the full title to appear only on the main index slips, i.e. those indexed

under the index heads; and

(ii) scoring out the title on the subsidiary index slips, i.e. those indexed under the

index sub-heads and giving a cross reference to the relevant index head, as per specimen

in Appendix 26.

(b) arrange the index slips received from different sections, in alphabetical order in a

single series for the department as a whole; and

each year.

110. Precedent Book—Every section will maintain a precedent book in the prescribed form (Appendix

27) for keeping note of the important rulings and decisions having a precedent value for ready reference.

Entries in this record will be made at the earliest opportunity and, in any case, at the stage of recording

the file.

111. Record Retention Schedule—

(1 ) To ensure that files etc. are neither prematurely destroyed, nor kept for periods longer

than necessary, every department will :

(a) in respect of records connected with accounts, observe the instructions contained

in Appendix 13 to the General Financial Rules;

(b) in respect of records, relating to establishment, personnel and housekeeping matters

common to all departments, follow the’ Record Retention Schedule’ in Respect of Records

Common to All Ministries/ departments’, issued by the Department of Administrative

Reforms and Public Grievances.60

(c) in respect of records prescribed in this Manual, observe the retention periods specified

in Appendix 28; and

(d) in respect of records connected with its substantive functions, issue a departmental

retention schedule prescribing the periods for which files dealing with specified subjects

should be preserved, in consultation with the National Archives of India.

(2) The above schedules should be reviewed at least once in 5 years.

112. Custody of records—

(1) Recorded files will be kept serially arranged in the sections/desks concerned for not

more than one year, after which they will be transferred to the departmental record room.

For files due for such transfer the register as at Appendix 24 will be consulted.

(2) In the event of transfer of work from one section to another, the relevant files also will be

transferred, after being listed in duplicate in the form at Appendix 29. One copy of this list

will be retained by the section taking over the files for its record and the other acknowledged

and returned to the section transferring them.

(3) Files transferred by a section to the departmental record room will be accompanied by a

list of files (Appendix 29) in duplicate. The departmental record room will verify that all

the files mentioned in the list have been received, retain one copy of the list and return the

other, duly signed, to the section concerned. In the record room, these lists will be kept

section-wise in separate file covers.

(4) The departmental record room will maintain a record review register (Appendix 30) in

which a few pages will be allotted for each future year. Category ‘C’ files marked for

review in a particular year will be entered in the pages earmarked for that year in the

(5) Files of category ‘A’ and ‘B’ surviving the review on their 25th year of life [vide para 113(3)]

will be stamped prominently as ‘transferred to NAI’ and retired to the National Archives.

Files transferred to the National Archives will be accompanied by a list (in triplicate), one

copy of which will be returned by the National Archives, duly signed, to the departmental

record room.

(6) Record rooms will be properly ventilated, with adequate lighting and fire-safety equipment

and avoid exposure to moisture. The records will be arranged serially section-wise and

will be regularly dusted. For proper preservation, the records will be periodically fumigated

and naphthalene moth-balls will be used.61

113. Review and weeding of records —

(1) A Category ‘C’ file will be reviewed on the expiry of the specified retention period and

weeded out unless there are sufficient grounds warranting its further retention. Justification

for retaining a file after review will be recorded on the file with the approval of branch

officer/divisional head concerned. Retention after a review will be for a period not exceeding

ten years, including the period already retained. If a file was originally retained for a period

of 10 years, any further retention will require up-gradation of the category.

(2) Category ‘A’ and category ‘B’ files will be reviewed on attaining the 25th year of their life, in

consultation with the NationalArchives of India. In these reviews, the need for revising the

original categorization of category ‘B’ files may also be considered.

(3) The year of review of category ‘C’ files will be reckoned with reference to the year of their

closing and that for category ‘A’ and category ‘B’ files with reference to the year of their

opening.

(4) Beginning in January each year, the departmental record room will send to the sections/

desks concerned the files due for review in that year, together with a list of files in the

form at Appendix 31, in four lots in January, April, July & September.

(5) (i) Files received for review will be examined by, or under the direction of, the section

officer or the desk functionary concerned and those files which are no longer required

will be marked for destruction. Other files may be marked for further retention vide

sub-paras (2) & (3). It may, however, be ensured that in case an inquiry has been

initiated departmentally or by a Commission of Inquiry or as a result of Court

proceedings having a bearing on the subject matter contained in the files/documents

concerned or the files/documents which are required in connection with the

implementation of order/judgment of any court of Iaw, such files/documents will not

be destroyed, even if, such files/documents have completed their prescribed life as

per the Record Retention Schedule.

(ii) Files/documents referred to above may be, destroyed only after submission of the

Report by the Commission or completion of inquiry or implementation of the judgment/

order of the court(s), with the approval of the concerned Joint Secretary/Head of the

Department concerned. In case the implementation of the court order has been

challenged/appealed against either by the Government or by the applicant in a higher

court, the relevant files/documents will not be weeded out until, such time the appeal/

challenge is considered and finally decided. In such cases the limitation period

prescribed for appeals should also be kept in mind.

(6) After review, the record clerk/desk assistant will make entries of revised categorization/

retention period in the file registers and return them to the departmental record room

along with the list (Appendix 31) after completing column 3 thereof.

(7) The Departmental Record Room, under the supervision of Departmental Record Officer

(DRO), will :

(a) transfer category ‘A’ and category’ B’ files surviving the review undertaken at the

25th year of their life vide sub-para (3) above, to the National Archives;62

(b) in the case of other files :

(i) destroy those marked for destruction, after completing column 4 of the list of

files (Appendix 29); and

(ii) restore the rest i.e. those marked for further retention, to the departmental

record stacks after making the required entries in the record review register in the case

of category’ C’ files;

(8) Records not falling within the definition of file, e.g., publications, spare copies of circulars,

orders, etc., will also be subjected to periodic reviews at suitable intervals and those no

longer needed should be weeded out. To facilitate such reviews each section will maintain

a register in the form at Appendix 32.

(9) Considering the urgency to reduce the volume of records being retained without any

significant need for their retention, the following measures may be taken in the Ministries/

Departments :

(a) A special drive may be launched every 6 months to record/review all old files and to

weed out those no longer needed. The results of such special drives will be submitted to

the DAR&PG in the proforma shown in Appendix 33;

(b) Each Joint Secretary may review every quarter the state of indexing/recording/review/

weeding out of files in his wing and allot such time- bound tasks towards this and to the

members of the staff;

Management in the sections as well as the Departmental Record Rooms during their

inspections.

(10) The following manner of Weeding/Destruction of records will be adopted :

(a) Routine files/records will be manually torn into very small pieces and disposed.

(b) Other documents including classified files/records will be destroyed by incinerating

(burning) or by shredding.

under ‘Departmental Security Instructions’ issued by the Ministry of Home Affairs.

114. Records maintained by officers and their personal staff—Each department will issue detailed

departmental instructions to regulate the review and weeding of records maintained by officers and

their personal staff.

115. Requisitioning and restoration of records—

(1) No recorded file will be issued from the sections, departmental record room or Archival

records except against a signed requisition in form prescribed under Public RecordsAct,

1993/ Public Records Rules, 1998 in the case of Archival records, and in the form at63

Appendix 34 in the case of other records.

(2) Requisitions for files belonging to other departments and in the custody of the National

Archives will be got endorsed by the department concerned before they are sent to the

Archives. If the requisitioned file happens to be a confidential one, the Archives will not

supply the file direct to the requisitioning department but route it through the department

to which it belongs.

(3) The requisition will be kept in the place of the file issued.

(4) If the requisitioned file is one that has been microfilmed or printed, normally a microfilmed

or printed copy and not the original will be issued to the requisitioning department.

(5) If a requisitioned file initially obtained for being put up in one case is subsequently put up

on another, a fresh requisition should be given to the section daftry or sent to the

departmental record room or the NationalArchives, as the case may be, for replacing the

original requisition which will be returned to the office concerned. In the case of records

obtained from the National Archives, the fresh requisition slip will be prominently marked

‘change slip’.

(6) On return, the requisitioned file will be restored to its place and the requisition returned to

the section/official concerned.

(7) Files obtained by a section from the departmental record room will normally be returned

within 3 months. If they are not received back within this period, the departmental record

room will remind the section concerned. For this purpose, the record room will maintain

a simple register for keeping a 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.

(8) Files obtained by a department from the National Archives will not normally be retained

for more than 6 months, except with the latter’s specific knowledge and consent.64

CHAPTER XIII

SECURITY OF OFFICIAL INFORMATION AND

DOCUMENTS

116. Communication of official information—Every Government Servant shall, in

performance of his duties in good faith, communicate to a ‘member of public or any organization full

and accurate information, which can be disclosed under the Right to Information Act, 2005. (Nothing

stated above shall be construed as permitting communication of classified information in an

unauthorized manner or for improper gains to a Government Servant or others).

117. Treatment of classified papers—

(1 ) The provisions contained in this manual apply primarily to unclassified papers. In handling

classified papers, the official concerned will exercise special care and follow the provisions

under the Departmental Security Instructions’ issued by the Ministry of Home Affairs.

Since according to these instructions classified papers (other than confidential) are

expected to be handled either by officers themselves or in sections designated as ‘secret’

or ‘top secret’, it is essential that in sections’ not so designated:

(a) a separate set of registers and other records (e.g., dak register, section diary, file

statements, electronic media, floppies, CDs, etc.), is maintained by section officer himself;

and

(b) the recording of such files and their review is also undertaken by him personally,

keeping in view the provision under the Departmental Security Instructions.

(2) Every classified file will be reviewed once in five years for declassification. A declassified

file considered fit for permanent preservation will be transferred to the National Archives.

118. Confidential character of notes/files—

(1 ) The notes portion of a file referred by a department to another will be treated as confidential

and will not be referred to any authority outside the secretariat and attached offices without

the general or specific consent of the department to which the file belongs. If the information

is in electronic form it will be handled by the authorized official only.

(2 ) Where the general consent has been obtained under sub-para (1) above, such consent

will, however, exclude classified files or to files in which the officer to whom the file is

supposed to be referred or shown, is personally affecteed, or in which his official conduct

is under consideration.

(3) For the purpose of attending meetings/discussions outside office an officer not below the

level of Section Officer/Desk Officer may carry confidential papers/files or an officer not

below the level of Under Secretary may carry Secret papers/files in a special circumstance

with the written authorization of Joint Secretary concerned. The authorization will be

produced by the officer on demand.65

119. Communication of information to the press—

(1) Official information to the press and other news media,i.e. radio and television, will normally

be communicated through the Press Information Bureau.

(2) Only Ministers, Secretaries and other officers specifically authorized in this behalf may

give information or be accessible to the representatives of the press, will direct them to

the Press Information Bureau or will seek the permission of the Secretary of the department

before meeting the press.

(3) Whenever it is proposed to release an official information to the press, or to hold a press

conference or press briefing or to give publicity to an official report, resolution or any

other publication, the department concerned will consult the accredited information officer

in advance. The accredited information officer will meet the authorized officials from time

to time and collect information worthy of publicity.

(4) Detailed procedure in respect of matters mentioned in this para, as laid down by the

Ministry of Information and Broadcasting, should be followed.

120. Use of restrictive classification for printed reports etc.—

(1 ) The restrictive classification ‘For official use only’ will not be assigned to any printed

report, pamphlet or compilation, unless it contains information disclosure of which would

not be in the public interest. In doubtful cases, the test that may be usefully applied is

whether the publication, whose circulation is proposed to restrict to official use only, is

such that the Minister would be justified in refusing to lay it before the Parliament.

(2) No official publication (including in electronic form) will be marked’ For official use only,

except with the prior approval of the branch officer, who will obtain the orders of the

Secretary or Minister in cases of doubt.66

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NEW RETENTION SCHEDULE BY UPSC : A HUMBUG

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