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Objectives

At the end of the session the participants

will be able to describe:

1. Different types of Records

2. Their custodians
3. Activities in Records Management
4. Life cycle of a Record
5. Procedure for Recording a file
6. The salient features of Public Records Act
1993 and Public Records Rules, 1997
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 Records in RTI Act
Record includes –
• Any document, manuscript and file;
• Any microfilm, microfiche and facsimile
copy of a document;
• Any reproduction of image or images;
embodied in such microfilm (whether
enlarged or not; and
• Any other material produced by a
computer or any other device.
(Sec. 2(i))
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 Kinds of Records
Files – Deals with problem/Collection
of data to facilitate decision making
Folders – Chronologically collected
copies of orders / instructions,
information supplied decision
communicated on the subject.
Printed Books, Charts, Maps
Ledgers & Registers – Cash Book,
Pay Bills, Diary Registers, File
Register.
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 Kinds of Records

Master Records – Aids to processing.

Standing Guard Files
Standing notes
Precedent Book and
Reference Folders
Non-paper Records – Floppy, CD,
Film Microfilm

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 Why “Records”
 As information sources for planning
scheduling Govt activities are required by
Management
 For legal & audit requirements
 For historical & cultural values
 For rational & impartial decision making
 For continuity in administration
To avoid irregularity in financial
transaction
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 Why “Records”

Limitation of human memory- planning

and scheduling Govt. activities
Transparency in Govt. working
Fixing responsibility, if need be
Evidence in case of dispute
Statutory Requirement as per The Public
Records Act, 1993 for preservation and
maintenance of records
RTI Act, 2005- Records have to be made
available
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 Records management

The Dictionary of Archival Terminology

defines Records Management as that
branch of General Administrative
Management which is concerned with
economy & efficiency in creation,
maintenance and disposal of records.

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Records Management in MOP

Records Management
covers the activities
relating to recording,
retention, retrieval and
weeding out.

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 Records Management
• Activities involved in controlling the life
cycle of A record, beginning with its
creation and ending with its ultimate
disposition.
Records management is keeping records
within manageable limits to facilitate
quick retrieval
Quick retrieval is the real test of a
Records Management system
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Basic principles of Record Management
CONTROL -Prevention of creation of
unnecessary documents
APPRAISAL - Appraisal/Review for early
identification of papers of lasting
value/constant review for weeding
ACCESSIBILITY- Easy Accessibility
SPEEDY RETRIEVAL -Scientific storage for
quick/ easy retrieval
ECONOMY of space and equipment
WEEDING - Uniform retention schedules.
• Closed records to be reviewed periodically
• Constant weeding of records 11
 Categorisation
Creation

Review
STAGES OF RECORDS
& Custody
MANAGEMENT
weeding

Maintenance
Preservation
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 Recording
Files are recorded when action on the
issues considered in it has been
completed
Files of ephemeral nature having
papers of little reference or research
value may be destroyed after one year
without formal recording

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 Steps for recording
1. Remove all superfluous papers e.g.
reminders, acknowledgements,
rough drafts etc
2. Categorise record (A,B or C). In case
of ‘C’ category record specify period
on file cover.
3. Revise Title, if required
4. Category A and B to be indexed
5. Take extracts of important decisions
/ documents etc and add to standing
guard file, precedent book 14
 Steps for recording
6) Complete reference in file , give previous /
later reference on file cover
7) Make entry in file register
8) Make entry in register for progress of
recording(Appendix 24 of MOP)
9) Make entry in file movement register (in
red ink)
10) Rewrite page numbers in ink.
11) Change file cover, if necessary.
12) Repair damaged papers and get the file
stitched
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 Categorization/ Classification

• Assigning importance to the contents

of a file.
• Helps to decide about preservation of
the file
• Classification is not indicated on non
– file records

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Categorization/ Classification

Three categories
‘A’ – Keep and Microfilm- Files for
permanent preservation and are
required frequently.
i) Files of administrative importance e.g.
papers relating to policy decisions,
preparation of legislation, rules,
regulations etc.
ii) Historical importance e.g. origin of
department, change of policy, public of
international event etc.
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 Categorization/ Classification

Appendix 25 of CSMOP gives illustrative lists

of records to be categorized as A & B
‘B’ - Keep but do not Microfilm- Permanent
preservation for administrative purposes but
not required frequently
‘C’ - Secondary nature records to be kept
for a specified period only up-to 10
years.

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 Where are files kept? Custodian
Stage Position/period Custodian
Current Action yet to be Decision Maker /
completed Case Processor
Semi - File recorded but The Section
Current may be required (Daftry, Clerk in-
charge, Dealing
Asst.)
Non- One year after Departmental
Current recording Records Room
Archaic / After 25 years of The National
Antique or its opening Archives of
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Historical India
 Review/weeding
Class ‘C’ Review after Weed out
Record retention Retain further up
period to 10 yrs
Upgrade to class
‘B’
Class ‘B’ Review after In consultation
Record 25 yrs from with NAI
date of Weed out or retain
opening Upgrade to class
‘A’
Class ‘A’ Review after In consultation
Record 25 yrs from with NAI
date of Weed out or retain20
opening
 Record Retention Schedules

Record Retention Schedules tell us how long

file on a particular subject is to be preserved
Four types of Record Retention Schedules :
1. DAR&PG schedule - for subjects, common
to Ministries/ Departments like
Establishment/ vigilance/house keeping,
library, security, public relations,
Parliament, Hindi, welfare etc .

2. General Financial Rules - Appendix-13 , for

cash accounts & budgetary records e.g.
master rolls, pay bills etc.
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 Record Retention Schedules
3. Manual of Office Procedure (Appendix 28 of
CSMOP) - for routine office records e.g.
Section diary -3, Assistant Diary-1,
Messenger Book-1, VIP Register-1, Court
Cases-PMT
4. Departmental Schedules - for activities
peculiar to a Department applicable to
Attached / Subordinate offices also. RRS
drafted by Deptt. and vetted by NAI.
Reviewed after every 5 years.
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 Evaluation of Records Management

Two indicators are commonly used:

1. Finding Ratio = No. of records found
.No. of records
requisitioned
Finding Ratio of 97% or higher is
considered suitable range
2. Use Ratio = No. of records used
No. of records stored
Use ratio of 20% or higher is generally
considered satisfactory 23
 The Public Records Act 1993
18 Sections dealing with various
requirements in RM
An Act to regulate the management,
administration and preservation of public
records
Of the Central Government, UT
Administration, PSUs, Statutory Bodies and
corporations, Commissions and Committees
constituted by the Central Govt. or a UT
Admn.
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What are Public Records?
“ Public records” includes:
(i) Any document, manuscript & file;
(ii) Any microfilm, microfiche & fascimile
copy of a document;
(iii) Any reproduction of image or images
embodied in such microfilm (whether
enlarged or not); and
(iv) Any other material produced by a
computer or by any other device of any
records creating agency; {Sec.2(e)}
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Who are Record-creating agencies

Any Ministry, Deptt. or Office of Central

Government;
Any department or office of UT Admn.
Any statutory body or corporation wholly or
substantially controlled or financed by the
Central Govt. or UT Admn.
Office of Commission or any Committee
constituted by Central Govt. or UT Admn
{Section 2 (f)}
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 Important provisions

Records Officer -
Every record creating agency to
nominate Records Officer to discharge
functions under this Act.
{Sec. 5(1)}

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 Record Room

Every Record Creating Agency has to

set up Records Room/s in such
places as it deems fit
Such Records Rooms to be under
the charge of a Records Officer
Sec. 5(2)}

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Record Retention Schedule

Every Record creating agency to

compile retention schedule for
records pertaining to substantive
functions
To be vetted by N.A.I.
{Section 6 (1)}

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 Penal Provisions under the Act

Section (9) of the Act

Imprisonment up to 5 years, or
Fine up to Rs., 10,000/-, or both
For contravening section(4) or section (8)
• Taking Public Records out of India without
authority
• Destruction of Public Record, without
following due procedure

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 The Public Records Act 1993

D.G., N.A.I. is the nodal officer for the

implementation of the act. He has to
coordinate/ supervise records
management of public records of all
offices
Lists 12 different functions of Records
Officer

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 Functions of Records Officer
Some of the functions of RO Are
• Arrangement, maintenance, review, and
weeding of records
• Preparation and up-gradation of organisational
history
• Ensure availability and
• Preparation of retention schedules
• Sending periodic reports to DG, N.A.I.
• Annual joint inspection of records room
• RO to intimate DG, NAI by 31 Jan. Files due for
appraisal and carry out appraisal with help from
NAI 32
Public Records Rules, 1997

It mentions 12 rules
Gives 9 formats for periodic
reports etc.
Nomination of an officer not below
the rank of Section Officer as
Records Officer
(RULE 3)

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 Public Records Rules 1997
It mentions some additional functions of R.O.
such as: -
• Maintaining standing guard file on records
management
• Procedure for retiring records to NAI
• Procedure for requisitioning records from NAI
 Designating an officer to evaluate and
downgrade the classified records formats for
various periodic reports to be sent by the RO
To the DG NAI
 Procedure for weeding out the records that
has outlived its utility
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Destruction of Public Record
No public records to be destroyed
without being recorded and reviewed.
No public record more than 25 years
old shall be destroyed by RCA without
appraisal.
Records shall be destroyed either by
the burning or shredding in presence
of records officer.
(Rule 9)
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“Efficient records management
is key to an efficient office”

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Thank you for your attention

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