Office Procedure

[1] Office Organization & Function [2] Office Layout & Environment [3] Records Management [4] Indexing [5] Office Correspondence [6] Form Reports & Sanctions [7] Miscellaneous [8] Role and Duties of Supervisor [9] Motivation [10] Communication [11] Leadership [12] Grievance Handling mechanism [13] Delegation [14] Authority and Responsibility

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[1] Office Organization & Function

1.1 Meaning of Office: An office is generally a room or other area where an organization’s employees perform administrative work in order to support and realize objects and goals of the organization. The word “office” may also denote a position within an organization with specific duties attached to it.

1.2 Purpose of Office: The main purpose of an office is to support its occupants in performing their job—Preferably at minimum cost and to maximums satisfaction. With different people performing different tasks and activities, however, it is not always easy to select the right office spaces.

1.3 To aid decision-making in workplace and office design, one can distinguish three different types of office spaces – (i) work spaces, (ii) meeting spaces and (iii) support spaces. For new, or developing business, remote satellite offices and project rooms, serviced offices can provide a simple solution and provide all of the former types of space

1.4 Basic function of Office: The functions of a modern office can be divided into two parts – (i) Primary or Basic Functions and (ii) Auxiliary or Administrative Management Functions. These functions are almost common to every business unit irrespective of nature of business/work.

1.5 (i) Primary or Basic Functions: The functions which afre primarily focused on Information, collecting and creating records, arranging, analyzing etc. are termed as Primary or Basic Functions. The Primary or Basic Functions are discussed below:

(a) Receiving & collecting Information: Receiving and collecting different types of information from the different types of sources is the primary function of an office. Any information is received from two sources – (i) internal (Letters, invoices, circulars, notices, memos etc.) and (ii) external (Supplier, Customers, Government, Banks, Post office etc.).

(b) Processing and arranging information: This is the most significant function of an office. The information collected and recorded cannot be instantly used for decision making and other purposes in an organization. Hence, it is required to be processes and arranged. Processing information involves – (i) preparing notes, (ii) sorting, (iii) editing. All such information is to be arranged in a systematic way so that the same can easily be retrieved whenever required.

(c) Supply of Information: After arranging and analysing information, it is ready to be supplied in the management. It provides necessary information to its member whenever it requires. This information helps in decision-making process.

(d) Retention of Records: Retention is defined as the ‘preservation of records for future reference’. It involves collection, preservation, classification and protection of records for future reference. It is maintained in Files, Computers etc. Every record has a specific span of life. It is classified and protected according to its importance. Retention of record depends upon nature of organization. The efficiency of office depends upon the records are maintained.

1.6 (ii) Auxiliary or Administrative Management Function: This class of management relates to – administration, public relations, management process etc. Auxiliary or Administrative Management Function of an office is discussed below:

(a) Management process: To make any business successful, a good management is required. Office helps in effective management. It includes – (i) planning, (ii) organizing, (iii) staffing, (iv) directing and (v) controlling. It helps in smooth functioning of the organization.

(b) Public relations: For good and healthy function of an organisation, good public relation of the organization is highly required. The main purpose of public relation is to make the organization look trust worthy to all people who deal with it in all its action.

(c) Development of office system and procedure: Every office develops a definite office system and a fixed routine. It helps in smooth flow and functioning of office works. The system is also known as procedure of office work or office procedure.

(d) Safe guarding the assets: All assets, movable and immovable, documents and office records are required to be guarded and protected. These assets are protected through insurance policies, locker etc.

(e) Form designing and control: An office designs, develops and prepares many types of form needed for office management. It helps to get maximum benefits and recording of maximum data in a classified manner. These office forms are important tools for collection and storage of information. Office forms also reflects the kind and class of the office.

(f) Purchasing of stationery and supplies: Office stationery and supplies are essential for doing office work. It helps in increasing the efficiency and improving quality of works done. Office should pay attention in purchasing right type of stationery and supplies as per requirement of office.

(g) Purchasing office furniture and machine: An office requires various types of office furniture and machine for efficient performance. The quantity, quality, consistency and completeness of work basically depend upon the ability and quality of assets like office furniture and machine. It enhances the way of working.

(h) Personnel function: Office is also related to recruitment, training, placing, promoting employees etc. Employees help in the success of the organization. Without employee any office cannot function.

1.7 Division of Work: The division of work is the course of tasks assigned to, and completed by, a group of workers in order to increase efficiency. The principle of ‘Division of Work’ means to divide a given activity or work into small pieces or parts so that each part is handled with great ease and efficiency. Division of work, which is also known as division of labor, is the breaking down of a job/work so as to have a number of different tasks that make up the whole easily with least expenditure in less time. Means to say that for every one job, there can be any number of processes that must take place for the job to be complete.

1.8 Positive impacts of this Division of Work are – (a) Specialization, (b) Minimization of wastage, (c) Improved efficiency.

1.9 Consequences of violation of Division of work principle – (a) Overburden on a single employee, (b) Conflicting situations, (c) Wastage of time and resources, (d) Chaos and confusion.

1.10 Delegation of work: Delegation is the assignment of any authority to another person (normally from a manager to a subordinate) to carry out specific activities. It is one of the core concepts of management leadership. However, the person who delegated the work remains accountable for the outcome of the delegated work. Delegation empowers a subordinate to make decisions, i.e. it is a shifting of decision-making authority from one organizational level to a lower one. In general, delegation is good and can save money and time, help in building skills, and motivate people. On the other hand, poor delegation might cause frustration and confusion to all the involved parties. The opposite of effective delegation is micromanagement, where a manager provides too much input, direction, and review of delegated work.

1.11 Organisation Charts: Organisation chart is a diagram showing graphically the relation of one official to another, or others, of a company. It is also used to show the relation of one department to another, or others, or of one function of an organization to another, or others. It is the simplest way to reflect flow of management and power of an organization and is used for quick view of the organisation.

1.12 Span of Management: The number of subordinates that a superior can effectively supervise is known as span of management or span of control. All the subordinates cannot be managed by one superior. There has to be a limit on the number of subordinates who can be effectively managed by one superior.

[2] Office Layout & Environment

2.1 Office Layout: Office layout is the arrangement of equipments within the available floor space”. According to Hicks and Place, “The problem of layout relates to the arrangement in the space involved so that all the equipment, supplies, procedures and personnel can function at maximum efficiency”.

2.2 Objective of Office Layout: The objectives of an office layout are as follows:

The available floor space should be used to the greatest extent.
Service such as electricity and telephone, internet etc. should be available wherever needed.
Good working conditions should be provided for everyone.
All office staff/clerks should be so located that the supervisor should be able to see the staff at work.
A sense of belonging and loyalty to the working group should be encouraged.
Communication and work flow should be facilitated.
The movement of clerks between desks, filing cabinets, etc. should be made easy.
The work desks should be located within easy reach of equipment and machines which the clerk may need to use in course of performing the work.
Noisy and distracting operations should be segregated.
Mutual interference between clerks should be avoided.
Privacy and security should be provided to departments or individuals dealing with work of confidential documents or records.
Adequate safety arrangements should be provided for departments dealing with secret or valuable documents or records.

2.3 Importance of Office Layout: A well planned layout brings a number of benefits to the office and to the employees. The important of an Office layout are as follows:

(a) Assists in the efficiency of getting the work done from employees.

(b) Proper utilization of office floor space.

(d) Speeds up intercommunication.

(e) Utilization of office machines and equipment to their optimum capacity.

(f) Ensures better comfort and self- esteem of the employees.

2.4 Principles of Office Layout: Adopting good office layout principles are essential in helping business thrive in the new competitive environment. It enables maximum use of office space & it also increase worker productivity and boost staff morale. Hence, in this way, principles of Office Layout is very important aspect which is required to be discussed. It is basically deals with the sitting arrangements of staff, well organisation of record room, furniture, all office equipments and proper watch on subordinates by executives. Some of best practical principles of Office Layout are discussed hereinafter.

(i) Inter – department Relationship: Before allocating areas to various departments of an office/organisation, the degree of relationship of one department to another department is taken into consideration.

Example: Production department has close relationship with purchase department and sales department. Hence, the area allotted to production department is very close to both purchase department and sales department. The office which renders service to all departments must be located centrally. Departments and individuals dealings with outsiders (customers and public) must be located very nearness to entrance. Noise proof walls or partitions should be arranged for typewriters, duplicators, computers, generators etc.

(ii) Flow of Work: The management of the office/organisation has to make the flow of work as regular as possible. A straight line, circle or U-shape. Regular flow of work minimizes the bottlenecks, avoids piling up of pending works and easily performance of work also.

(iii) Maximum Utilization of Floor Space: Floor Space is very costly particularly in urban areas and metropolitan cities. Hence, the available space should be properly utilized. However, every employee should be given adequate space to ensure his/her health and efficiency.

(iv) Space Requirements for Staff and Equipment: Congestion in the office may reduce the efficiency of staff. Proper & adequate space is required to be provided between desks to allow free movements within an office. Number of windows, its size and its nature are also taken into consideration. Files and stationery items are to be properly stored so that the same can be used retrieved and used instantly. Private chambers for management executives are to be provided for proper functioning. Furniture and equipment must be positioned for ease in cleaning and servicing.

(v) Effective Supervision: The position of supervision executive/officer is to be fixed in such a manner that he/she can be able to keep a clear view of all his/her subordinates. As far as possible, employees should face the supervisor whose seat should be placed towards the near of the working group.

(vi) Flexibility and Uniform Appearance of Office: The furniture and equipment used in the office should be of uniform type to ensure greater flexibility and more uniform appearance of office.

(vii) Office Systems and Procedures: Efficient performance of work is based on the office system and procedures. This can be attained only when the placement of employees and equipment is in such a way that they are fit in with the office system and procedures in operation.

(viii) Proper Lighting: Placement of desks and chairs should be in such a way that no employee faces an objectionable light source. Principally, an employee should receive light from his left hand downwards on to his work.

(ix) Employee Morale: Office layout should ensure job satisfaction and morale of employees. Employees whose work requires close concentration should be provided with partitions. Cloak rooms and toilets should be within the easy reach of employees.

(x) Number of Private offices: Private offices are separate rooms, cabins or cubicles which are partitioned off from the other parts of the office. A private office requires two to five times more than generally required for an employee and increase the expense on lighting, ventilation, heating etc. Hence, private office should be discouraged and restricted. Private offices are generally provided for high officials or executives.

(ix) Ventilation: Fresh air is necessary for good health and for a healthy atmosphere which have deep efficient on performance of work. Special attention should be devoted when the office is not air conditioned and there is a mixed staff of male and female.

(x) Expansion: The future expansion of the department must be allowed and ensured. The additional equipment need to cope with the additional staff members and the expanded activity may be accommodated within the concerned department with a little adjustment with ease.

(xi) Service Facilities: Drinking water, wash rooms, canteen, lifts, rest rooms, telephone, fax, computer and internet are the service facilities of an office. Proper provision should be made in office layout for the physical comfort and well being of the office employees.

(xiv) Balance: Balancing gives a sense of responsibility. Pleasing appearance improves the image of the office in the eyes of the customers and the general public. Hence, such balance should be made while creating an office.

(xv) Special Purpose Rooms: All good offices provide a space for reception room and a conference room. A reception room should be attractive and well decorated and should be allotted a space very nearness to entrance. A conference room is necessary for conducting Board Meeting, Group Discussion, conducting interview and the like. The conference room is located far away from the entrance and general office and preferable on the top floor.

(xvi) Safety: An office should provide an adequate number of exists. Space is allotted for maintaining old records and files. Office stationery items are used only and kept in a separate place. Safety of all office equipments, furniture & employee is required to be ensured for a good and healthy atmosphere.

2.5 Space Management: Space management is defined as the management, control and supervision of the physical spaces a business occupies. This could refer to a single floor, multiple floors or multiple floors in multiple buildings. Space management is a multi-step process that requires data gathering, analysis, forecasting, and strategizing. In practice, it involves creating a space management system that identifies floor layouts and occupants throughout your organization. Space management software simplifies this practice and makes it easier to scale your space planning goals.

2.6 Office Environment: The main purpose of an office environment is to support its occupants in performing their jobs. Work spaces in an office are typically used for conventional office activities such as reading, writing and computer work.

2.7 The most important aspect of having a good office environment is overall employee morale support. Having a supportive office culture allows bonds to grow between co-workers, making it a place employee favourable. This starts with the company vision and trickles down from management to everyone else.

2.8 A comfortable, well-ventilated, well-lit, safe workplaces increase productivity as much as 16 percent and job satisfaction as much as 24 percent, while reducing absenteeism. This simply shows that how much office environment affects the functioning and output of an office.

2.9 Office Lighting Standards: Every type of work environment requires a certain amount of light for workers to perform. Office lighting standards state that a normal workstation requires 500 lumens per square meter. Means to say that every 6’×6′ cubicle requires the same amount of light that would be received from a 35-watt incandescent light bulb. The layout of the lighting should provide an even amount of illumination across the office space. It should also take into consideration shadows that may be cast by cubicle walls or partitions, and be adjusted to minimize these problem areas.

2.10 Worker Health and Productivity: Light can have a huge impact on a worker’s health and their productivity. Some scientific studies suggest that exposure to natural light can affect an office worker in many ways. Workers deprived of natural light are found to be more tired, more prone to insomnia, more distractible and less active. However, if any office does not have windows or skylights that can brighten up working areas, offering artificial light in the right brightness and colour can give employees that much-needed boost. Daylight colours, like white and blue-white, give the feeling of being in sunlight and the benefits of it.

2.11 Ventilation: It is found that indoor air pollution has a negative effect on working practices. The most common side effects of poor indoor air quality are worsened concentration and productivity levels and increased fatigue. Over 75% of interviewed office workers felt that poor indoor air quality in their office was affecting their working practices

2.12 Safety Precautions: Coming soon.

2.13 Cleanliness & Sanitation: Coming soon.

[3] Records Management

3.1 Meaning of Records: Records refer to the sources of information which have future referral value. Records may be on paper or non-paper medium. In the latter form these are available as floppies, CDs, audio-tapes, micro-films or just in the cyber space.

3.2 Purpose of Records: Records are tools for the management to take tactical or operational or strategic decisions. These are the memory of an organization. The quality of the decisions taken by an organization depends to a large extent on the quality and timeliness of the information provided to the decision makers. In offices, records are created when the office performs its informational role. Records are end product of activities such as collecting, collating, storing, processing and disseminating information.

3.3 Creation of Records: The creation of records in an organization takes place during the process of its activities and operations. The records are created because of the following factors: –

(a) External Activities: This could be in the form of various communications received from outside.

(b) Internal Activities: This could be in the form of the analysis of the communications received from out side or the process of decision making on the issues considered by the organization. The communications conveying the final decisions of the organizations would also fall under this category.

(c) Mini Records: To facilitate the internal working of the organization especially to meet the informational needs during the process of decision making, organizations create certain aids to processing for various types of cases. These may be running summary of a case, reference folders, standing notes, standing guard files etc.

3.4 Types of Records: The government records at the time of their segregation as closed records are categorized in accordance with their importance. There are three such categories:-

(i) Category – ‘A’: At the time of recording of such category of files these are endorsed as ‘KEEP and MICROFILM’. These categories of files are kept for at the most 25 years with the creator. Thereafter, a joint review is undertaken with the NAI. If the file clears that review it is taken over by the NAI. Files which fall in this category are:-

(a) Files which qualify for permanent preservation for administrative purposes and which have to be microfilmed because they contain – (a) 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; or (b) Material likely to be required for frequent references by various agencies.

(b) Files of historical importance Central Secretariat Manual of Office Procedure brought by the Department of Administrative Reforms and Public Grievances gives an illustrative list of Category ‘A’ and Category ‘B’ cases.

(ii) Category – ‘B’: At the time of recording of such files these are endorsed as ‘KEEP but DO NOT MICROFILM’. This category of files cover files required for permanent preservation for administrative purposes, but not containing material of the kind mentioned in paragraph i (a) and (b) given above.

(iii) Category – ‘C’: This category includes those files which are required to be preserved for specified period only. These are the files of secondary value having reference value for a limited period not exceeding 10 years.

3.5 Principles of Record Keeping: There must be a principle for record keeping for quick retrieval and considering the activities of an office/organisation. Principles of efficient records management are enumerated below:

(i) There should be control over the creation of record since its inception till its final disposition. Only relevant papers may be kept in the file. Papers of secondary importance and of transitory nature should not be allowed to clutter the file.

(ii) Elaborate record retention schedules should be available in the organization. These schedules should correspond to the approved filing system being followed in the organization. The schedule should provide for uniform and systematic schedule for retention and disposal or records. These schedules themselves are reviewed periodically say after every five years or so.

(iii) The closed records should be regularly and periodically reviewed by the creating agency for their intrinsic and informational value after the expiry of the initial retention period.

(iv) There should be a constant weeding of the records that have outlived its utility. It would keep the cost of maintenance of the records minimum.

(v) The records should be stored in such a manner that they are accessible to the agencies that need to utilize them.

(vi) The storage of records should also help in speedy retrieval of records.

(vii) The maintenance and preservation of records should not be unnecessarily expensive. Economy should be observed by ensuring that (a) records occupy minimum space, (b) cost of storage equipments is low. (c) cost of retrieving information is low.

3.6 Filing: The process of – collection of papers on a specific subject matter, assigned a file number and consisting of one or more of the following parts:

(a) Notes

(b) Correspondence

(d)Appendix to correspondence.

3.7 Essentials of good filing system objectives: Coming Soon.

3.8 Centralised Filing: Centralized filing system is system in which – the records for several people or units are located in one, central location; and, generally, under the control of a records staff person or in the case of large centralized filing systems, several people.

3.9 Advantages of Centralised Filing System: The advantages of Centralised Filing system is as follows:

(a) Responsibility is easily placed.

(b) Effective use of equipment, supplies and space.

(d) Reduces duplication.

(e) Uniform service provided to all users.

(f) Improved security.

3.10 Disadvantages of Centralised Filing System: Disadvantages are mentioned below:

(a) Records may be too distant from staff for adequate service.

(b) Can result in increased personal filing systems.

(d) May require investment in more efficient filing equipment and/or automation.

3.11 Decentralised filing: A decentralized filing system is a system in which – the files are located throughout the office, generally at individual work stations; and, usually controlled by the person who creates and/or receives them.

3.12 Advantages of Decentralised Filing system: The advantages of Decentralized Filing System is as follows:

(a) Records located near staff creating and using them.

(b) Does not require “extra” space needed for centralized files.

(d) Staff feels more comfortable knowing they are in control of their own filing and retrieving.

3.13 Disadvantages of Decentralised Filing System: The disadvantages of Decentralised Filing system are given below:

Confusion as to where information can be found, especially if staff member is absent.
Can result in “fragmented” documentation – information related to the same topic or subject filed in multiple places.
Individual staff members may not know how to properly maintain their files.
Lack of uniformity or consistency.

3.14 Advantage of Filing System: The advantage of Filing system are as follows:

(a) Efficiency: The office staff can easily locate and use the records properly without any delay under good filing system. This leads to savings in time and brings efficiency in office operations.

(b) Ready Reference: Filing arrangement helps the office staff to refer the relevant papers and documents very quickly. Customers do not like to be asked to supply copies of the earlier communication but they can only indicate invoice number and/or reference number with date.

(c) Protection: A good filing system protects the documents from possible loss or damage.

(d) Planning: The business policy can be framed and planning of the project can be done by referring past records by the management, Hence, the documents provide a basis for future planning.

(e) Better Control: The process of control is facilitated by good filing system. All the incoming and outgoing letters are properly checked and quick disposal of letter is possible if immediate attention is required by any letter.

(f) Quality Decision: Filing enables the executives to take quality decision at time.

(g) Evidence: In the case of a legal dispute, filing provides documentary evidence in the court of law.

(h) Legal Compliance: Filing fulfils the legal obligation such as keeping documents according to income tax; value added tax and the like.

(i) Follow Up: Filing facilitates the management in case of securing order from the customer and collecting dues from them also.

(j) Goodwill: A good filing system enables the office staff to handle correspondence correctly and quickly. This creates and increases the goodwill of the business organization in the business world.

3.15 Disadvantage of Filing System: The disadvantages of filing systems are discussed below:

(a) Data Redundancy: It is possible that the same information may be duplicated in different files, this leads to data redundancy results in memory wastage.

(b) Data Inconsistency: Owing to data redundancy, it is possible that data may not be in consistent state.

(c) Difficulty in Accessing Data: Accessing data is not convenient and efficient in file processing system.

(d) Limited Data Sharing: Data are scattered in various files also different files may have different formats and these files may be stored in different folders may be of different departments. Hence, owing to this data isolation, it is difficult to share data among different applications.

(v) Integrity Problems: Data integrity means that the data contained in the database in both correct and consistent for this purpose the data stored in database must satisfy correct and constraints.

(vi) Atomicity Problems: Any operation on database must be atomic. This means, it must happen in its entirely or not at all.

(vi) Concurrent Access Anomalies: Multiple users are allowed to access data simultaneously, this is for the sake of better performance and faster response.

(vii) Security Problems: Database should be accessible to users in limited way. Each user should be allowed to access data concerning his requirements only.

3.16 Alphabetical: Alphabetical filing is the most widely used method. In this system of classification, papers or records are classified in accordance with the first letter of the name in alphabetical order. The Telephone Directory is a good example of such a classification. The main divisions of the alphabet can be further sub-divided and colour coding can be employed to facilitate selection and replacement of files. Alphabetical classification can be either by name or by subject or by geographical location.

3.17 Subject wise: Under this system of filing, all documents concerned with a particular subject are brought together in one file. Such document may have come from different sources and from different people. This system is adopted only when the subject or content of a letter is more important than the name of the correspondent. Each subject matter is kept in a separate file. These files may then be arranged alphabetically, numerically or on some other basis.

3.18 Numerical: Under this method of filing, each folder or record is given a number and the files are arranged in the numerical order i.e. each customer or subject is allotted a number. All papers relating to a particular customer or supplier or subject are placed in one folder bearing its distinctive number. Folders are arranged in the cabinet numerical sequence and guide cards are used to divide them into suitable groups of 10 or 20. Hence, if a customer, is allotted the number 08, all papers and documents connected with him will be found in folder number 08. For this purpose, Index will have to be maintained to facilitate location of and reference to a particular file.

3.19 Vertical or upright: Vertical filing system indicates the vertical position of the files. The files are kept in a standing position under this method. Vertical filing method is developed to overcome the difficulties of horizontal filing. In large scale organization, more papers are filed and there is a need of referring many papers. Hence, there is a possibility of time consuming in locating the papers. The desired file should be referred without much difficulty but in lesser time. Usually, drawers or cabinets are used so that any folder may be withdrawn or replaced without disturbing the other folder.

3.20 Advantages: The vertical method of filing having the following advantages –

(a) The files can be easily referred without much difficulty.

(b) There is no disturbing of other papers or letters than desired.

(d) The cost of folders is very cheap. Hence, the cost of maintenance is very less.

(e) Nearly 1,000 folders can be accommodated in a single cabinet with four drawers.

(f) Minimum space is required for keeping vertical filing.

(g)There is much scope for the expansion of filing facility.

(h)The drawers are locked after referring the desired files. Hence, thesafety and security of file are ensured.

(i) Fire proof cabinets are used to protect the files.

(j)Vertical filing has much flexibility. The folders can be arranged in any kind of classification – alphabetically, numerically, subject wise and so on.

(k) This system can be applied to file all types of papers and documents, orders, invoices, quotations, tenders, circulars etc. are to befiled without much difficulty.

3.21 Limitation: Vertical Filing Vertical filing suffers from the following limitations – (a) The location of desired files requires much time. (b) The files may be wear and tear resulting from the slip down of folders.

[4] Indexing

4.1 Definition: Indexing is the process of determining the name, subject, or some other caption under which the documents are to be filed. Indexing increases the utility of filing by providing an easy reference to the files. The very purpose of maintaining index is that easy and quickly location of filing.

Indexing is also defined as: Indicating its title under appropriate catchwords arranged in their alphabetical order followed by the rest of the words and the File Number to facilitate its retrieval.

4.2 Index is a ready-made guide, which is used to locate the required file. Therefore, an Index indicates or points out the exact place of keeping a document or file. Index is not only necessary to large office but also necessary to small office. When a large number of files are maintained, the necessity of maintaining index is increased.

4.3 Indexing of Files: – Some of the files are required to be indexed at the time of their recording. Files of category ‘A’ and ‘B’ will only be indexed.

(i) Ensure that the title of the file adequately represents the contents of the file.

(ii) From the title of the file identify the catchwords which will naturally occur to any one searching for the file later. Here a foresight is needed to visualize situation as it would be in the future. Where conventional filing system is followed first such catchwords can be identified from the standard heads, and from the standard sub heads. These are known as ‘index heads’ and ‘index sub-heads’.

(iii) These catch words are approved by the supervisory officer.

(iv) Take the index cards double the number the catchwords so identified. These cards are similar to the catalogue cards used in the library.

(v) Indicate on top of cards all the catchwords one below the other. Distinguish the index heads and index sub-heads by typing the former in capital letters.

(vi) Allot a pair of cards to each catch word by scoring out entries relating to the others.

(vii) Arrange the index card in two sets in alphabetical order of catch words. Keep one set in the Section. Send the other set to the compiler of Departmental index.

(viii) For the Section keep the set of cards on year-wise basis.

(ix) Complete the entries relating to indexing on the file cover of the recorded file.

(x) Where the functional filing system is followed files need not be indexed under the basic, primary, secondary, and tertiary heads. The functional filing scheme itself will provide the master index. However, these files will have to be indexed under the catch words used in the ‘content’ part of the title, which falls outside the standardized headings.

4.4 Meaning of Indexing: Indexing means an arranged system by which the required documents and papers are easily located for the speedy disposal of urgent and/or ordinary matters. Various type of files are maintained for different departments on various topics/subjects. Therefore, an indicator (index) is necessary to locate the files.

4.5 Objects of Indexing: The objects of indexing are discussed as follows –

(a) To assist filing so that the filed documents are located easily and quickly retrieved whenever they are needed.

(b) To increase the efficiency of the filing method.

(d) To state the key information regarding any subject in a condensed form.

The right system of indexing must be adopted in order to achieve the objectives of indexing. Indexing however is not required if files are arranged in an alphabetical order.

4.6 Type of Index: The main types or methods of indexing office files are briefed as follows:

(i) Book Index: Book Index or Page Index or Ordinary Index is an index in which the names of customers or documents or other information are entered in a book in an alphabetical order under this type. One can trace the page number of a customer by referring first letter of the concerned customer and desired information or data may be obtained.

This system is highly suitable to small concerns and not suitable to large organization. In case of large organization, there may be many customers in a similar name. Besides, enough space is not available for making many entries in a single name.

(ii) Vowel Index: There are many names beginning with same alphabet. Therefore, it is very difficult to find the particulars of a specified customer. For example -. Anand, Anandaraj, Anandan, Anand Babu, and the like. The first five letters are common in these names. Hence, these names are sub-divided again based on vowels and one can easily locate the page number of respective customers. This is an upgraded/improved system of Book index. Moreover, vowels are adapted to differentiate the system. Hence, this system is called Vowel index. This method of index is suitable to small and medium size business office.

(iii) Bound Book Index: This type of Index is maintained as in the form of bound book or register. This book is divided into alphabetical sections in which the names of customers or documents are entered. The leaves of each section may be out at the top of right hand side. If so, the initial letters of all the sections are seen at a glance. The entries pertaining to a specific letter of the alphabet are arranged in the same section or page reserved for the same letter of the alphabet very strictly. The cost for maintaining a book index is very cheap. Besides, the durability of book index is very long period. The pages cannot be lost, discarded, or disarranged since they are bound. This type of index is very suitable to small business office.

(iv) Loose Leaf Index: This is another form of book index. Loose Leaf is a ruled sheet like the pages of ordinary index. These sheets are inserted in or taken out from metal hinges or screws, when necessary. Each customer is allotted a leaf in which the name of customer, the address, phone number, call number, fax number, E-mail, the file number etc. are arranged. These loose indices are kept in a drawer.

(v) Card Index or Vertical Card Index: A uniform size of the cards is used under this method. The length of the card may be 4″ or 5″ and width of the card may be 2.5″ or 3″. These cards are maintained vertically. Hence, this method is called vertical card Index. The name and important particulars of a customer are indexed. The file number of the concerned customer is recorded at the top edge of the card. Different colour cards may be used to differentiate and easy location of the files. Cards are arranged in an alphabetical or numerical order. Cards are placed in drawers or boxes in suitable dimensions. Each drawer may have a rod running from one end to other end to hold the cards in a position.

(vi) Visible Card Index: This method is an improvement of card Index. Hence, this card index removes the defects of card index. A large number of cards cannot be seen at one sight. Even though, a limited cards can be seen at one sight since many cards are placed flatly in transparent covers. These covers are kept in a shallow tray or metal frame. The metal frame is placed in such a way that the name and address are visible without touching another card. Then, the trays or frames are fitted vertically to metal stands or horizontally into cabinets. The cards are arranged in alphabetical, numerical, or alphanumerical order. The details can be written on the either side of the card without removing the card from the frame.

(vii) Strip Index: There is a need of maintaining a list of names and communication address of customers and suppliers in every business office for ready reference. Hence, strip index has been designed to meet the above mentioned purpose. One line entry is made on a narrow strip of cardboard. Each strip contains a single item. The strips are placed in a frame in such a way that the strips can be inserted or removed without much difficulty.

(viii) Wheel Index: In this type of index, cards are mounted round the hub of a wheel under this method. The wheel moves on ball bearings. The wheel can be rotated to locate a specified card. Hence, this method is very economical and highly flexible.

(ix) Frames: In this type of Index, frames are placed on a table as a book form. Sometimes, the frames are arranged on a rotary stand. This method is a developed method of visible card Index.

4.7 Weeding of Records: Weeding is the act of removing unnecessary files from the active records. The result is significant savings in storage space and faster and more efficient retrieval of information for research purposes. Extensive weeding is necessary when the records contain large numbers of reference materials or duplicate copies of documents.

4.8 The records listed below can be weeded from the active records when no longer necessary for administrative or reference purposes and must be removed from permanent records prior to transfer to the Archives. These weeding guidelines apply to records in all formats, including paper, image, audio-visual, email, and other electronic records.

(a) Drafts: Only final copies and drafts containing significant annotations should be transferred to the Archives.

(b) Routine Correspondence: It includes – letters/emails of transmittal or cover letters that merely forward an enclosure/attachment and add nothing to the content of the item transmitted; meeting announcements; logistical information; invitations; acknowledgments; reservations; confirmations; travel itineraries; and routine requests for general information, such as brochures and catalogues.

(c) Memoranda: It includes – memoranda concerning routine matters and those written by other units. Only those memoranda sent by the unit bearing on its programmatic responsibility, such as those concerning policies, procedures, or collections, should be transferred to the Archives.

(d) Routine Administrative Records: It includes – copies and printouts of standard forms or reports from the Smithsonian’s centralized databases. This does not apply to original records.

(e) Duplicates: It includes – photocopies, extra copies, documents that exist in multiple formats, and documents that are saved in multiple locations. An office should save either the original (for documents found only in paper format) or the copy that is filed with the most complete set of records (for documents in multiple or electronic format).

(f) Research Material: It includes – clippings, photocopies of published materials, and photocopies of archival materials collected as background, informational, or research material. This does not apply to materials created as the result of original research by staff.

(g) Miscellaneous: It includes – supply and vendor catalogues; envelopes (unless annotated); blank forms; advertisements and promotional materials from other Smithsonian units and external organizations; and equipment manuals and warranties.

4.9 The Department of Administrative Reforms and Public Grievances in the Ministry of Personnel, Public Grievances and Pensions, is entrusted with the responsibility of preparing Record Retention Schedule common to all Ministries and Departments, so that there is uniformity in the retention schedule of records of common nature in the area of policy, establishment and housekeeping created by the different Ministries/Departments of Central Government.

4.10 Record Retention Schedule: Records should neither be destroyed prematurely nor should they be kept after they have out-lived their utility. There should be a reasonable ratio between the creation and destruction of records. One of the essential components of an efficient records management system is the availability of elaborate record retention schedules. There are four types of record retention schedules which are discussed in successive para hereinafter –

4.11 Type of Records Retention Schedule: The same are tabulated below:

S.No.	Type of Records	Retention Schedule
1	Records pertaining to Accounts	Appendix 13 of General Financial Rules
2	Records relating to subjects common to all Departments such as Establishment, Vigilance, Common Office Services	Records retention schedule on such subjects issued by the Department of Administrative Reforms & Public Grievances
3	Records referred in the C.S. Manual of Office Procedure	Appendix 28 of the C.S. Manual of Office Procedure
4	Record retention schedule pertaining to the substantive items of work of a Department	The retention schedule prescribed by the Department concerned. It also covers the items of work handled by the Attached and Subordinate offices under the Department. This schedule is drafted by the Department and vetted by the NAI. It is reviewed after every five years.

4.12 Procedure for Recording: – Files should be recorded after the issues considered thereon have been completed. However, files of purely ephemeral nature containing papers of little reference value or research value may be destroyed after one year even without formally recording.

4.13 After action on the issues considered on the file have been completed, the dealing hand/initiating officer, in consultation with his supervisory officer should close and record the file in the manner prescribed below:

(i) Remove from file all superfluous papers such as reminders, acknowledgements routine slips working sheets, rough drafts, surplus copies, etc. and destroy them.

(ii) Indicate the appropriate categorization of record and in the case of class ’C’ also specify the retention period and the year of destruction on the file cover.

(iii) Where necessary revise the title of the file so that it describes adequately the contents at that stage or that the title of the file is the mirror image of the contents of the file.

(iv) Get category ‘A’ and ‘B’ files indexed.

(v) Take 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, precedent book.

(vi) Complete all references in the file and also write previous and later references on the file cover.

(vii) Complete entries in the file register. If need be revise the entries relating to the title of the file also.

(viii) Complete entries in the register for watching progress of recording.

(ix) Write the word recorded prominently in red ink across the entries in the file movement register.

(x) If required re -page- number the file. Write page numbers in ink.

(xi) Prepare fresh file covers, where necessary, with all the entries already made thereon.

(xii) Repair the damaged papers and get the file stitched.

4.14 Transfer of Recorded Files: – Once the closed files are recorded, it is necessary that these must be taken away from the case-processor, so that the primary function of the case-processor relating to processing of live issues is carried on unhampered. For this purpose, recorded files are removed to the first custodian of recorded files – the Daftry or Peon of the Section. He keeps recorded files under his charge for the period of one year. Thereafter, the recorded files are transferred by following the prescribed process to the Departmental Records Room (DRR). The recorded files retained in the DRR at the most for 24 more years. Files which survive this period are then reviewed in consultation with NAI. Files which survive this review are taken over by the next custodian – the NAI for permanent preservation. The only exceptions are the Pay Bill Registers which have the prescribed retention period of 35 years and so remain in DRR for 34 years. All the custodians of records are expected to take adequate steps for the maintenance and preservation of records placed in their custody.

4.15 Retrieval of Records: – It is an important activity in the area of records management. If a preserved record cannot be retrieved at the required moment it is as good as destroyed. The records required to be retrieved is properly identified means to say that the exact file number etc. with the help of aids to retrieve records in the manner as follows: –

(a) Organizational History

(b) Printed Index Heads

(d) Index Cards

(e) File Registers

(f) Alphabetical List of Important Files

(g) Precedent Books

(h) Standing Guard File

(i) Standing Note

(j) Reference Folder

4.16 Thereafter, a formal request is made for requisitioning the record to the custodian of the record. Due procedure is followed to keep track of the movement of the requisitioned records by the requisitionist as well as the custodian of records to ensure that the requisitioned record does not get lost. For this purpose every custodian of records issues the requisitioned record only against a conspicuously coloured requisitioning card or paper.

4.17 The requisitioning agency is also required to indicate the purpose for which the particular record is being requisitioned. It is mandatory to indicate the identity i.e. the file number, diary number etc. of the current record with which the requisitioned record is to be linked. This helps in tracing the movement of the requisitioned record. When record is issued the requisition is kept in place of the issued record. 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 custodian of the records. Files obtained from DRR are normally returned within three months. Files obtained from NAI are not normally retained for more than six months except with their specific knowledge and consent. The DRR as well as the NAI keep note of the records issued by them and follow this up by periodical reminders.

4.18 Review of Records: – Reviewing is the activity for determining the future of the past records that have completed the initially prescribed retention period. The objective is to ascertain how much of the records stored have lost their relevance and utility at the end of the prescribed retention period. This exercise helps in determining the current and future administrative, legal fiscal use of the records as well as their evidential and informational value. The review also looks into the intrinsic value of the records which may be due to some unique factors such as age, circumstances of creation, signatures, seals etc.

4.19 Review should be undertaken in a systematic and regular manner. It should be entrusted to those who are conversant with the subject matter. The records categorized as Category “C” records are reviewed after the completion of the indicated calendar years from the year of closure. For example, if a file has been recorded as C-3, on 15/06/2020 it would be reviewed any time after completion of the years 2021, 2022 and 2023.

4.20 Category ‘A’ and Category ‘B’ recorded files are reviewed after the completion of 25 years from the year of their opening of files. To undertake the review exercise systematically the DRR at the beginning of the year takes stock of the files that are mature for review. In respect of the files to be reviewed by the Sections, these are sent in almost equal numbers spread over the entire year.

4.21 Disposition of Records: – When after review it is found that some of the records have outlived its utility, it is required to be weeded out. Here, before such records are confined to incinerator or shredder for destruction a ‘Certificate of Destruction’ is prepared in the format prescribed as per the Public Records Rules, 1997.

4.22 Statutory Obligation: – The management, administration and preservation of public records of the Central Government, Union Territory Administrations, Public Sector Undertakings, Statutory Bodies, and Corporations, Commissions and Committees constituted by the Central government or a Union Territory administration, is regulated in accordance with the Public Records Act, 1993 and the Rules framed under the Act. As per provisions of this Act, every record – creating agency is required to designate one of its officers as ‘Departmental Records Officer’ (DRO) under intimation to the NAI, which is the apex body for managing Government records. The Act elaborately enumerates the functions to be performed by the DRO. There is linkage in the functions of the DRO and NAI through the submission of periodic reports to the NAI.

[5] Office Correspondence

5.1 Office Correspondence: Any written or digital communication exchanged by two or more Ministries/Departments/Organisations/Offices/parties is called office correspondence. It may be in the form of – letters, emails, text messages, voicemails, notes, or postcards etc.

5.2 Correspondence within the organization yields a meaning of definiteness to corporate policies and practice, promotes understanding between the employees of departments/organization. Correspondences with the outsider promotes image of the organization, clarifies its policies, keeps its legal entities intact and keeps its operations going.

5.3 Purpose of Office Correspondence: (a) Serving a notice to the office personnel, (b) Serving a notice to the individual person, (c) Serving an order either to the entire department or to the individual employee in the office, (d) Serving an instruction either to the department or to an individual working in the department.

5.4 Classifications of Office Correspondence: (a) Internal Correspondence (b) External Correspondence (c) Routine Correspondence (d) Sales Correspondence (e) Personalized Correspondence (f) Circulars etc.

5.5 Forms of Correspondence: (a) Letters (b) E-mails (c) Text Messages (d) Voice Mails (e) Notes (f) Post Cards (g) Memos (f) Fax etc.

5.6 Principles of Office Correspondence: There are certain principles of office correspondence which has to be followed by every office. An office notice or an office order cannot be issued by every personnel of an office. Firstly, it is required to refer to the office manual of the office/organization and ensure the authority under rule empowered to issue such letters.

5.7 Any official correspondence is required to be issued either by the competent authority under rule or by other personnel with prior approval of such authority under rule.

5.8 The greatest principle of any official correspondence is that official letters issued, served, or sent to anybody, should have a valid, substantial reason which should evince a firm resolute action. An office correspondence should be brief, polite, and should be written in a manner that the person reading it should take a favourable action. At no stage should the official letter served or written be harsh, impolite and rusty. It therefore devalues the importance of the letter and the person writing it. However, some harshness may be incorporated while serving a warning letter.

5.9 Inward & Outward Correspondence: The correspondence which is served to the organization/office from outside is known as inward correspondence whereas the correspondence which is made from an organization to outside organization/office etc. is called outward correspondence.

5.10 Handling of DAK-receipts: During office hours, the entire DAK of the department including that addressed to Ministers/Officers by name will be received in the Central Registry (CR) specially designed and organised for such work. Immediate/important DAK addressed to Ministers/Officers by name is sent through special messenger directly, it will be received by them or their personal staff.

5.11 Outside the office hours, DAK will be received by the addressee himself at his residence if marked ‘’Immediate’’ and addressed by name. In all other cases, DAK will be received, outside office hours by the Night Duty Clerk of the Department concerned.

5.12 Acknowledgement of DAK: The receipt of DAK, in person, will be acknowledged by the recipient signing his name in full and in ink with date and designation. In e-office acknowledgement will be self-generated.

5.13 Registration of dak: (i) All covers, except those addressed to Ministers/Officers by name or those bearing a security grading, will be opened by the Central Registry (CR).

(ii) All opened DAK as well as the covers of unopened, classified DAK, will be date stamped in a format suitable to the Ministry/Department concerned with details including name of the Ministry/Department, Date of Receipt, C.R. Number, Section Diary Number.

(iii) The physical DAK would be received by various functionaries (e.g. C.R. Unit or the personal staff of the officer concerned). It shall be the responsibility of the functionary who first receives the physical DAK, to diarize it.

(iv) All receipt will be diarized on e-office of the Department.

5.14 Distribution of DAK: The receipts may be forwarded to the officer/section concerned. In case of ambiguity, the correspondence may be forwarded as per the instructions of the appropriate authority. The Centre Registry (CR)/IFC will prepare an invoice separately for each section which the DAK is to be distributed. The DAK along with invoice will be sent to the section concerned and acknowledged by the diarist. The invoice, duly signed, will then be returned to the CR/IFC where it will be filed section-wise and date wise.

5.15 Alternatively, DAK may be distributed and acknowledged obtained in messenger books or DAK register maintained section-wise physically or digitally.

5.17 Urgent DAK is required to be distributed as and when received. Other DAK may be distributed at suitable intervals (viz. 11:00 hrs., 14:00 hrs., & 16:00 hrs.). Such part of diary DAK is is received too late to be included in the last daily round, and required to be kept ready for distribution early next day. The official in-charge of the CR needs to ensure following:

(a) As far as possible, sorting, registration and invoicing of DAK is completed on the day of its receipt;

(b) If the above work cannot be completed during the day, and without prejudice to the processing of urgent DAK, the night duty staff attends to it; and

(c) The total number or receipts pending at the end of the day for sorting, registration and invoicing are noticed in ta register and the signature of the night staff is obtained.

5.18 Urgent DAK received outside office hours is required to be sent to the sections concerned if there is a staff on duty. In other cases, such DAK will be dealt with in accordance with the instructions issued by the department concerned.

5.19 Dirisation: Discussed in Para 5.13.

5.20 Action on receipts: Discussed in 5.14 to 5.18.

5.21 Types of Correspondence: Discussed in Para 5.4.

5.22 Office Notes: Office Notes are another form of internal communication popular within business organizations. Office notes are put up by sections, departments or units to the higher authorities, head of the unit, department or institution.

5.23 Uses of Office Notes: The important uses of Office Notes are as follows:

(i) Internally exchange of ideas.
(ii) Counselling of a particular matter.
(iii) put recommendation regarding particular issues
(iv) Giving information about some matter.
(v) Seeking suggestions from equal ranked Officers etc.

5.24 Letter of Application: The letter of application, also known as a cover letter, explains the purpose of the correspondence as well as it’s attachments/enclosures. A letter of application should be in a manner of complement.

5.25 Appointment Letter of enquiry: A Letter of enquiry is a form of office correspondence in which it is asked someone for specific information. In some other cases, such as request for promotional material, the recipient needs to have a clear interest in responding.

5.26 D.O. letter (Demi Official Letter): This form is generally used in correspondence between Government officers for an inter-change or communication of opinion or information without the formality of the prescribed procedures. It may also be used when it is desired that the matter should receive personal attention of the individual addressed. Since demi-official letter is written in the first person in friendly tone, it should be addressed by an officer in a Ministry/Department who is ordinarily not more than one or two levels below the officer to whom such communication is addressed.

Bullet: For the purpose of determination of level, Secretary/Additional Secretary and Director/Deputy Secretary will be considered as one level.

Communications to non-official can also take the form of Demi-Official Letter.

5.27 Quotation: A quotation is the repetition of a sentence, phrase, or passage from speech or text that someone has said or written. Quotations are often used as a literary device to represent someone’s point of view. They are also widely used in spoken language when an interlocutor wishes to present a proposition that they have come to know via hearsay.

Another kind of quotation is – describes the cost of price of Goods or Service which is/are required to be supplied to an office/department.

5.28 Circular: This form is used when important and urgent external communications received or important and urgent decisions taken internally have to be circulated within a department for information and compliance by a large number of employees.

5.29 Letter: This form is used for corresponding with – (a) Foreign Governments, (b) State Governments, (c) the Union Public Service Commission and other (d) constitutional bodies, (e) heads of attached and subordinate offices, (f) public enterprises, (g) statutory authorities, (h) public bodies and (i) members of the public generally. A letter begins with the salutation Sir/Madam as may be appropriate and ends with the subscription “Yours faithfully”.

5.30 Office Memorandum: This form is generally used for corresponding with other departments or in calling for information from or conveying information to its employees. It may also be used in corresponding with attached and subordinate offices. It is written in the third person and bears no salutation or supersession except name and designation of the officer signing it.

5.31 Order: This form is generally used for issuing certain types of financial sanctions and for communicating government orders in disciplinary cases, etc., to the officials concerned.

5.32 Office Orders: This form is normally used for issuing instructions meant for internal administration, e.g., grant of regular leave, distribution of work among officers and sections, appointments and transfers, etc.

5.33 Officials Letter: An official letter is a letter which is written in a formal, official capacity to discuss something with a colleague, a superior, or with anybody else in the business circle. These are mostly written in and from people who know each other well in an official capacity and which to take some deal or agreement further.

5.34 Notification: This form is mostly used in notifying the promulgation of statutory rules and orders, appointments and promotions of gazetted officers, etc. through publications in the Gazette of India. The composition of the gazette, the types of matters to be published in each part and section thereof, the instructions for sending the matter for publication therein and for sending copies thereof.

5.35 Press Communiques/Note: This form is used when it is proposed to give wide publicity to Decision of government. A press communique is more formal in character than a press note and is expected to be reproduced intact by the press. A press note, on the other hand, is intended to serve as a handout to the press, which may edit, compress or enlarge it as deemed fit.

5.36 Resolution: This form of communication is used for making public announcement of decisions of government in important matters of policy, e.g., the policy of industrial licensing, appointment of committees or commissions of enquiry. Resolutions are also published in the Gazette of India.

[6] Form Reports & Sanctions

6.1 Form: A Form is a standardised medium of collecting, analysing, transmitting and recording information. It makes clear what information should be collected and transmitted and in what manner.

6.2 Objects & Purpose of Office Form: Form standardises the procedure of communication of decisions (e.g. the order imposing a penalty under the CCS (CCA) Rules). It facilitates the filing of information for future reference (e.g., the individual running ledger accounts in case of Defence Personnel).

6.3 Forms are devised for simplifying internal office work, e.g., accounting forms. Forms are thus an important aid in the conduct of Government business. Forms serve the purpose only if they are properly designed. On the other hand, an ill-designed form can lead to delay and cause errors. It can also make processing difficult and expensive. A badly designed form has an adverse sociological reaction and gives a poor image of the organisation. Forms are the ambassadors of an organisation outside and a good workman inside.

6.4 Guidelines for forms design: While designing forms, sufficient attention needs to be paid. However, before undertaking the task, it should be first carefully examined the purpose for which the form is required, whether the form is to be designed for collecting and analysing certain information or for standardising the method or procedure of handling a particular type of work. It is also necessary to examine the nature of work which requires collection of information or the procedure which is to be standardised.

6.5 Reports & Returns: In an organization/office, there are two directional characteristics of information flow – (a) that flows from the management and (b) that flows to the management. The information which flows to the management is the basis for decisions making. The information that flows from the management is the basis for reporting results achieved.

6.6 The information that flows to the management from the various levels in the organisation is generally in the form of Reports and Returns.

6.7 There is a basic differentiate between a Report and a Return. (i) Report: A Report is generally in the narrative form with proper headings and sub-headings; there is scope for elaboration and expressing personal opinion. (ii) Returns: Returns are in a tabular form, the format being prescribed by the demanding authority and there is very little scope for expressing personal opinion. However, both reports and returns both can be used for planning and control purposes in an organisation.

6.8 Types of reports and returns: The various types of reports and returns are as follows:-

(i) Performance Report and Return:- It is for the purpose of exercising control by higher officers/authorities. It gives indication about achievement of targets, production of goods, collection of revenues, construction of roads, sales, etc. These are submitted periodically and the frequency is high. The source for preparation of this report is internal.

(ii) Monitoring Report and Return:– It is similar to the above (i); but the only difference is that, it places emphasis on progress or otherwise in certain important areas only, like industrial relations, public complaints, research and development activities, etc. It is also submitted periodically and the frequency is fairly high.

(iii) Exception Report: It is for the purpose of control. The purpose is to signal significant deviations from fixed schedules or shortfalls in targets or to report unusual features. There are three objectives of Exception Report – (i) eliminate unnecessary details, (ii) inform higher management of deviations or any unanticipated trends, and (iii) call attention of higher management to those situations which cannot be remedied at lower levels. If all details of direct operation were reported to top management, little time will be left with them for planning. These reports are submitted occasionally and the frequency is low. The source of information is internal.

(iv) Demand Report: It is both for planning and control. These are specially demanded either sue-motto or sometimes to obtain additional information about points arising from the reports mentioned above. Their frequency is variable and the source of information is internal.

(v) Planning Report: This report is mainly for the purpose of strategic planning. It helps in forecasting trends, evaluating investment opportunities, planning future activities taking into account the political and economic climate, fiscal policies, activities of competitors etc. The nature of information content is mostly unstructured and hence generally decided by the sender. It is a periodical report, frequency is low but often pre-determined, e.g., half yearly or annually. The source of information is both internal and external.

6.9 Purpose & importance: The purpose & importance of reports and returns are on the basis of following factors: –

(i) The increase and complexity of activities of organisations and the organisational distance between the top and the lower managements.

(ii) Decentralisation and consequent delegation of authority require ways of measuring executive performance.

(iii) It is in the interest of the lower officials to send reports to the higher ones as it will help the former to seek solutions to problems which they are not able to find at their own level. Besides, it will help them in getting promotions, advancements, etc. based on an indication of achievements of results. Of course, there has to be a selectivity in reporting the information to the appropriate level.

6.10 Financial sanction: Financial sanctions are the written expressions relating to the permission or authorization or resolve for expenditure from public funds. In Government of India, the power to issue a financial sanction vests primarily with the Ministry of Finance.

6.11 The Govt. of India (Transaction of Business) Rules, 1961, provide that unless a case is fully covered by the powers to sanction expenditure or to appropriate or re- appropriate funds, conferred by any general or special orders made by the Ministry of Finance, no Department shall, without the previous concurrence of the Ministry of Finance, issue any orders involving expenditure, or otherwise having a financial bearing.

6.12 However, for the expeditious discharge of public business, the Ministry of Finance has delegated powers to other Ministries/Departments, Administrators of Union Territories, Heads of Departments and Heads of Offices. This process of delegation is a continuous one, depending, inter alia, upon the economic climate and the level of activity necessitating delegation of financial powers to the various executing agencies in accordance with the responsibilities entrusted to them.

6.13 The authorities who may exercise these delegated powers, the limits of expenditure and the conditions subject to which these powers may be executed are specified in the various Rules such as the Delegation of Financial Powers Rules, 1978, the Fundamental & Supplementary Rules, the General Financial Rules and also in other general or special orders.

6.14 All financial powers not specifically delegated to any authority by the Delegation of Financial Powers Rules, are known as ‘Residuary Financial Powers’. Such powers vest in the Ministry of Finance. The Ministry of Finance also includes the Integrated Financial Adviser who may exercise all or any of the powers of the Ministry of Finance beyond those delegated to the Ministries/Departments, subject to the supervision by the Ministry of Finance and also subject to such general or special orders as may be issued in this behalf by that Ministry. Hence, the Finance Ministry’s powers are exercised by the Integrated Financial Advisers of the Departments also, where the I.F.A. Scheme is in force.

6.15 Drafting of sanction: Drafting financial sanctions is of paramount importance and the following points should be borne in mind while executing it –

(a) Form of Sanction: (i) All financial sanctions issued by a Department of the Central Government which relate to a matter concerning the Department proper and on the basis of which payment is to be made or authorized by the Accounts Officer, should be addressed to him.

(ii) All other sanctions should be accorded in the form of an Order, which need not be addressed to any authority, but a copy thereof should be endorsed to the Accounts Officer concerned.

(iii) In the case of non-recurring contingent and miscellaneous expenditure, the sanctioning authority, may, where required, accord sanction by signing or countersigning the bill or voucher, whether before or after the money is drawn, instead of by a separate sanction.

(b) Sanction in the Name of: (i) All financial sanctions issued by Ministries and Departments of the Central Government whether with the concurrence of the Ministry of Finance or under their own powers, should be issued in the name of the President, say as,

“I am directed to convey the sanction of the President …….” or “The President is pleased to sanction………….”

(ii) Where, however, the power to make orders, notifications, etc. is conferred by a Statute on the Central Government, the statutory orders, Notifications, etc. so made are expressed only in the name of the Central Government for obvious reasons. (iii) Sanctions which are issued by Heads of Department under the powers delegated to them are issued in their own name, as under –

“I am to sanction______” and signed by them. Sanctions can also be signed and communicated to Audit by an authorised gazetted officer subordinate to the Head of Department, the sanction being either in the name of the Head of Department or signed by the gazetted officer for the Head of Department [GFR-29 (vii)].

(iv) When powers delegated to Head of Office are exercised, the sanctions can be issued in the name of the Head of Office himself.

(c) Purpose: – The purpose of the sanctioning to expenditure should be clearly stated. The language should not be open to ambiguity or miss-interpretation. If different articles are to be purchased, the quantity or specification of each one of them should be stated separately and not mixed up with others. Similarly, all orders conveying sanctions to the grant of additions to pay, such as special pay and compensatory allowance, should contain a brief but clear summary of the reasons for the grant of the addition so as to enable the Audit Officer to see that it is correctly classified as special pay or compensatory allowance, as the case may be.

(d) Amount: – All orders conveying sanction to expenditure of a definite amount or upto a specific limit, should express the amount of expenditure sanctioned both in words and figures [GFR-29(vi)].

(e) Conditions: – It should be ensured that sanctions duly incorporate any information, certificate, conditions etc. required to be incorporated under the relevant financial rules. The following are some examples: –

(i) While creating a temporary post, its duration must be clearly stated. The date from which it is created should also invariably be specified [GFR-27(2)].

(ii) All sanctions of the grants-in-aid issued by a Ministry/Department under Rule 20 of the D.F.P.R 1978, should conform to the pattern of assistance or rules governing such grants-in-aid also have been laid down by the Internal Finance Wing of the Ministry/Department concerned under GFR 209(2).

(iii) All orders conveying sanctions to the grant of additions to pay such as Special Allowance, Personal Pay, etc., should contain a brief summary of the reasons for the grant of such additions to pay so as to enable the Accounts Officer to see that it is correctly termed as Special Allowance, personal Pay, etc., as the case may be [GFR 29 (viii)].

(f) Whenever any orders are issued affecting the conditions of service of persons serving in the Indian Audit and Accounts Department, the fact that the orders are being issued after consultation with the Comptroller and Auditor General of India, as required under Article 148(5) of the Constitution, should be mentioned in the orders, preferably as a separate paragraph as indicated below: –

“In so far as the persons serving in the Indian Audit and Accounts Department are concerned, these orders are issued after consultation with the Comptroller and Auditor General of India.”

(g) Sanction issued with the consent of other Ministries/Departments: (i) Whenever the consent or sanction of the Finance Ministry is required under these rules, such consent or sanction shall be communicated to the Audit/Pay and Accounts Officer concerned by a Department of the Central Government itself after adding a Clause to the sanction as follows:-

“This Order/Memorandum issues with the concurrence of the Ministry of Finance (Department of Expenditure), vide their O.M./U.O. No…………. dated …………..”

(ii) Whenever the consent of the Finance Ministry is required under these rules, such consent or sanction shall be communicated to the Audit/Pay and Accounts Officers concerned by a Department of the Central Government, where the Integrated Finance Advice Scheme has been introduced, by adding a clause to the sanction letter as follows:-

“This order/Memorandum issues with concurrence of Finance Branch vide their U.O. No ……………. dated ………………”.

(iii) Whenever a financial sanction is issued by a Department of the Central Government in exercise of the powers conferred on it by these rules in consultation with its Internal Financial Adviser/integrated Financial Adviser, it shall be communicated to Audit/Pay and Accounts Officer concerned by the Department concerned by adding a clause to the sanction as follows:

“This sanction issues in exercise of the powers conferred on this Department in consultation with the Internal Finance Branch/Finance Branch vide their U.O.No…………….. dated ……………………”[DFPR – 25].

(iv ) All financial sanctions and orders issued by a department with the concurrence of the Ministry of Home Affairs or Comptroller and Auditor-General of India or Department of Personnel should specify that the sanction or orders are issued with the concurrence of that Department along with the number and date of relevant communication of that Department wherein the concurrence was conveyed [GFR 29(v)].

(v) In the case of sanctions involving foreign exchange where the concurrence of the Ministry of Finance (Deptt. Of Economic Affairs and/or Department of Expenditure) is obtained, the fact that the concurrence of the Department of Economic Affairs has been obtained is specifically indicated along with the number and date of the authority of that Department.

(h) Sometimes items of expenditure sanctioned by the Ministry/Department from its Grant are actually incurred by another Ministry/Department as in the case of works executed by Divisional Officers of CPWD etc. on behalf of other Ministries/Departments. In the Departmentalized Accounting System, the debits for

such expenditure is passed on along with the vouchers for final account to the concerned Pay & Accounts Officer of the Ministry/Department which sanctioned expenditure. In cases of this nature, the Ministries/Departments according the sanction should indicate in the sanction the particular P&AO in whose books the expenditure is to be finally adjusted, besides indicating the particulars of the head of account and the grant/appropriation to which the expenditure is debitable.

6.16 Principles & guidelines: Coming soon.

6.17 Signing of Sanction: (a) Under Article 53 of the Constitution of India, the executive power of the Union vests in the President and is exercised by him either directly or through officers subordinate to him in accordance with the Constitution. Article 77 of the Constitution requires that all executive action of the Government of India should be expressed to be taken in the name of the President and that orders and other instruments made and executed in the name of President should be authenticated in such manner as may be specified in rules made by the President. The rules made by the President for the authentication of orders in the name of the President are contained in the Authentication (Orders and other Instruments) Rules,1958.

(b) All financial sanctions and orders involving payments from Government funds should not be conveyed over cyclostyled signatures. They should be communicated to the Audit Officer and/or the Accounts Officer, as the case may be, duly signed by an authorized gazetted officer.

(c) Sanctions accorded by a Head of Department may be communicated to the Accounts Officer by an authorized Gazetted Officer of his Office duly signed by him for the head of Department or conveyed in the name of the Head of the Department [GFR-29(vi)].

(d) A Head of Office can authorise a subordinate gazetted Officer to incur contingent and miscellaneous expenditure on his behalf. But the Head of Office remains responsible for the correctness, regularity and propriety of expenditure incurred by the said gazetted officer. In such cases, sanctions can be signed by the gazetted officer for the Head of office, who has to communicate the name and specimen signature of the former to the Treasury Officer [Rule 16 of the DFP Rules and Rule 142 of the Treasury Rules].

6.18 Retrospective effect of Sanction: The Date of effect of sanction – Subject to fulfilment of the provisions of Rule 6 of the Delegation of Financial Powers Rules, 1978, all rules, sanctions or orders shall come into force from the date of issue unless any other date from which they shall come into force is specified therein [GFR – 27(1)].

However, no expenditure can be incurred against a sanction unless funds are made available for the purpose by valid appropriation or re-appropriation or advance from Contingency Fund of India. Sanction for recurring expenditure becomes operative for the first year when funds are made available and remains effective for each subsequent year subject to appropriation in such years and also subject to the terms of sanction [Rule 6 DFPRs].

6.19 Lapse of Sanction: A sanction for any fresh charge shall, unless specifically renewed, lapse if no payment in whole or part has been made during a period of 12 months from the date of issue. Following are the exceptions to this general rule: –

(a) When period of currency of sanction is prescribed in departmental regulations or specified in the sanction itself, it will lapse on the expiry of such period.

(b) When there is specific mention in the sanction that expenditure will be met from budget provisions of specified financial year, it will lapse at the close of that financial year.

(c) In the case of purchase of stores, a sanction shall not lapse, if tenders have been accepted (in the case of local or direct purchase of stores) or the indent has been placed (in the case of Central Purchases) on the Central Purchase Organization within the period of one year of the date of issue of that sanction, even if the actual payment in whole or in part has not been made during the said period [GFR 30].

(d) Sanctions relating to addition to a permanent establishment made from year to year under general scheme sanctioned by competent authority or in respect of an allowance for a particular post/class of Govt. servants, even though not drawn by the officer(s) concerned, shall not lapse [GFR 31].

(f) A sanction to an advance or a non-refundable part-withdrawal from Provident Fund, unless it is specifically renewed, lapses on the expiry of a period of three months. This does not, however, apply to withdrawals effected in instalments. In such cases, the sanction accorded for non-refundable withdrawal from Provident Fund remains valid upto a particular date to be specified by the sanctioning authority in the sanction order itself [GFR 268].

[7] Miscellaneous

7.1 Theory of ‘X’ & ‘Y’: Theory X and Theory Y are theories of human work motivation and management. They were created by Douglas McGregor while he was working at the MIT Sloan School of Management in the 1950s, and developed further in the 1960s. McGregor’s work was rooted in motivation theory alongside the works of Abraham Maslow, who created the hierarchy of needs. The two theories proposed by McGregor describe contrasting models of workforce motivation applied by managers in human resource management, organizational behaviour, organizational communication and organizational development.

7.2 Theory X explains the importance of heightened supervision, external rewards, and penalties, while Theory Y highlights the motivating role of job satisfaction and encourages workers to approach tasks without direct supervision.

7.3 Management use of Theory X and Theory Y can affect employee motivation and productivity in different ways, and managers may choose to implement strategies from both theories into their practices.

7.4 Theory ‘X’: Theory X managers tend to take a pessimistic view of their people, and assume that they are naturally unmotivated and dislike work. As a result, they think that team members need to be prompted, rewarded or punished constantly to make sure that they complete their tasks.

7.5 Work in organizations that are managed like this can be repetitive, and people are often motivated with a “carrot and stick” approach. Performance appraisals and remuneration are usually based on tangible results, such as sales figures or product output, and are used to control staff and “keep tabs” on them.

7.6 This style of management assumes that workers:

Dislike their work.
Avoid responsibility and need constant direction.
Have to be controlled, forced and threatened to deliver work.
Need to be supervised at every step.
Have no incentive to work or ambition, and therefore need to be enticed by rewards to achieve goals.

7.7 According to McGregor, organizations with a Theory X approach tend to have several tiers of managers and supervisors to oversee and direct workers. Authority is rarely delegated, and control remains firmly centralized. Managers are more authoritarian and actively intervene to get things done.

7.8 Although Theory X management has largely fallen out of fashion in recent times, big organizations may find that adopting it is unavoidable due to the sheer number of people that they employ and the tight deadlines that they have to meet.

7.9 Theory of ‘Y’: Theory Y managers have an optimistic, positive opinion of their people, and they use a decentralized, participative management style. This encourages a more collaborative, trust-based relationship between managers and their team members.

7.10 People have greater responsibility, and managers encourage them to develop their skills and suggest improvements. Appraisals are regular but, unlike in Theory X organizations, they are used to encourage open communication rather than control staff. Theory Y organizations also give employees frequent opportunities for promotion.

7.11 This style of management assumes that workers are:

Happy to work on their own initiative.
More involved in decision making.

7.12 Fish Bone diagram: Fish Bone diagram also called Ishikawa diagrams, herringbone diagrams, cause-and-effect diagrams, or Fishikawa diagram is a causal diagrams created by Kaoru Ishikawa that show the potential causes of a specific event.

7.13 It is a cause-and-effect diagram that helps managers to track down the reasons for imperfections, variations, defects, or failures.

7.14 Common uses of the Ishikawa diagram are product design and quality defect prevention to identify potential factors causing an overall effect. Each cause or reason for imperfection is a source of variation. Causes are usually grouped into major categories to identify and classify these sources of variation.

7.15 The defect is shown as the fish’s head, facing to the right side, with the causes extending to the left as fishbone, the ribs branch off the backbone for major causes, with sub-branches for root-causes, to as many levels as required.

7.16 The basic concept was first used in the 1920s, and is considered one of the seven basic tools of quality control. It is known as a fishbone diagram because of its shape, similar to the side view of a fish skeleton.

7.17 Advantages: The main advantages of Fishbone Diagram are as follows:

(a) Highly visual brainstorming tool which can spark further examples of root causes

(b) Quickly identify if the root cause is found multiple times in the same or different causal tree.

(d) Good visualization for presenting issues to stakeholders

7.18 Disadvantages: Disadvantages of Fish Bone Diagram are as follows:

(a) Complex defects might yield a lot of causes which might become visually cluttering.

(b) Interrelationships between causes are not easily identifiable.

[8] Role and Duties of Supervisor

[9] Motivation

[10] Communication

[11] Leadership

[12] Grievance Handling mechanism

[13] Delegation

[14] Authority and Responsibility

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6 thoughts on “Office Procedure”

Krishna
27/08/2022 at 8:54 PM

8] Role and Duties of Supervisor
[9] Motivation
[10] Communication
[11] Leadership
[12] Grievance Handling mechanism
[13] Delegation
[14] Authority and Responsibility
Kindly update these portions.

Sanjay
08/09/2022 at 2:04 AM

Thanks sir

1. admin
  25/12/2022 at 10:34 AM
  
  Good Luck!
  Stay tuned.
  
Anubhav pandey
14/09/2022 at 8:23 PM

Please give me the book reference or upload full office procedures… please

Nirmal Yadav
17/10/2022 at 4:31 AM

this is the best notes for office procedure…. Thank you, Sir

1. admin
  25/12/2022 at 10:33 AM
  
  Thanks to Mahadev.
  Stay tuned gentleman!

Office Procedure

6 thoughts on “Office Procedure”

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