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File numbering system

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Bhim Thatal
Bhim Thatal

The document discusses two file numbering systems - conventional and functional. The conventional system uses standard headings and sub-headings with consecutive numbers. The functional system uses an alphanumeric code representing the basic, primary and secondary heads, followed by the file serial number and year. It also describes procedures for file movement, recording, review and custody in government offices in Sikkim, India.

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File Numbering System Prepared by: Bhim Thatal Deputy Secretary and Faculty Accounts and Administrative Training Institute; Government of Sikkim November 17, 2011
Conventional and Functional File Numbering System November 17, 2011
Conventional Filing System File No: 8/3/11-Adm Constituents: (a) Standard Head or Main Heading (b) Standard Sub-Head or Aspect Heading List of Subjects: Each section maintains approved lists of standard Heads and Sub-Heads and reviews these every year. Section oriented approach November 17, 2011
Numbering: Consecutive serial nos. allotted to Standard Head but NOT to stasndarised subheads File No consists of : (a) S.No. of Standard Head (b) S. No. of file opened during the year (c) Last two digits of the file opening year First two digits separated by / slant and last two digits by - hyphen November 17, 2011
Functional Filing System Functional Filing System is an alphanumeric system and a file number under this consists of the following elements: A single alphabet representing the Basic Head followed by a hyphen as the Separator. A 2-digit group of Arabic numerals representing Primary Head followed by zero as the Separator. A 2-digit group of Arabic numerals identifying the Secondary Head followed by a slant stroke as a Separator. Serial number of the file opened during the year under the Secondary Head, followed by a slant stroke as the Separator. November 17, 2011
A 4-digit number representing the year, followed by a hyphen as the Separator. A group of abbreviating letters representing the Division / Section opening the file A list of Basic/Functional Heads, Primary Heads and Secondary Heads 3 . In this list Headings preceded by letters of alphabet are the Basic / Functional Heads. The Primary and Secondary Heads have been identified by headings of their respective columns. November 17, 2011
Example : Suppose the Accounts Section need to open a file about Grant of Overtime Allowance. A reference to the list of Heads will show that this subject comes under the: Functional Head: G. Finance, Budget, Cash & Accounts, Primary Head: 14. Allowances, and Secondary Head: 18. Overtime allowance Supposing, further that they have already opened 5 files about the Overtime Allowance during this year. his will thus be the sixth file on the subject in the year 2004. November 17, 2011
The file No. in this case will, therefore, be structured as: G 14018/ 6 /2004 Accts .:- G = Basic/Functional Head, - = Hyphen as separator, 14 = Primary Head, 0 = Separator 18 = Secondary Head / = Separator 6 = S.No. of file opened on the subject this year / = Separator 2004 = Year in which file is being opened - = Hyphen as Separator Accts. = Abbreviated name of the Section. November 17, 2011
Filing System in Government of Sikkim (see Para 55 & 56 of MOP, 1998, GoS) Subject classification based: Standard head: main subject heading Standard subheads: aspect of standard head Standard head has consecutive serial number Standard sub head DOES NOT have numbers List of A and B reviewed and revised every year with the approval of Branch Officer concerned Serial number once allotted not to be changed Dealing hand to ascertain standard head to which PUC relates. Proposes suitable title, of the file to be opened, for approval November 17, 2011
Title to be brief but also indicate content at a glance Separate file for each distinct aspect Title to be concise not general Should not attract large number of receipts on different aspects of the matter If issue in FR or current note on file goes beyond the original scope THEN ONLY Open a new file after placing relevant extracts or copies November 17, 2011
Numbering : GOS (Government of Sikkim) Department or its abbreviation Year File no. (Serial number allotted to Standard Head) Serial number of file opened under sub head Symbol/abbreviation that identifies the section EXAMPLE: A file opened in Home Department in 1998 under Standard Head bearing serial number 3 pertaining to Protocol Section will read like this: GOS/Home/2011-12/3-Protocol November 17, 2011
File Register (see Para 58 of MOP, 1998, GoS) Maintained by diarist, it consists of records of files opened in a calendar year Approved Standard Heads and Serial Number identifying them to be pasted on the beginning of the register Pages allotted to Standard Head to be indicated against them November 17, 2011
Part File (PF) (see Para 59 of MOP, 1998, GoS) (1) PF is created when: Main file is unavailable and processing FR is necessary When two or more sections/officers are required to be consulted simultaneously and it is necessary for each of them to see the receipt noted upon (2) PF consists of: Receipt or notes dealt with Related notes (3) Where more than two PFs are opened, number them as Part File I, Part File II. Merge PFs with the main file immediately, remove any duplicate papers November 17, 2011
Transfer, Reconstruction & Renumbering of Files (see Para 60 of MOP, 1998, GoS) Consider this when: Work is transferred from one Department/Section to another Transferring agency to promptly transfer all records and files, both current and closed to the new Department/Section Department/Section taking over the transferred records and files NOT to divide, reclassify nor renumber the closed files transferred to it Make efforts to close the current files sooner at possible stage and open new files as per the scheme and classification of the Department/Section November 17, 2011
Movement of File and other Papers (see 61 of MOP, 1998, GoS) Enter file movement in File Movement Register (FMR) When current files are linked, mark movement of linked file in space allotted in FMR for the file with which the file is linked and also individually in space allotted for linked file When recorded files are put up with a file mark the movement of the recorded file in the space allotted in the FMR for the file with which it is put up Note on the remarks column of Section Diary about the movement of the files the files received from other departments/sections and other receipts not brought on to a file in the receiving section DONT issue current files to other sections without written requisition, and without marking it in the FMR November 17, 2011
Movement of File and other Papers (contd..) Route Files and papers marked by the Under Secretary to other officers, sections or departments through the section for noting their movement When the Under Secretary personally hands over such files or papers to other officers/sections, (s)he MUST inform the section and ensure recording of their movement in the FMR Personal staffs (PS)of Deputy Secretary and above should maintain records of papers received by their officers in respective personal section diary. PS to note movement of any paper/record handed over personally to higher officer, Minister. PS to route papers/files marked by them to other department through concerned section for movement record 7 November 17, 2011
Recording Procedure ( see Para 66 of State MOP) 01.After OS marks file for record, dealing hand will: Suggest appropriate classification as per instruction & for Class C file, specify retention period & review year If necessary, revise file title to describe content at that stage If decisions ion the file are to be noted or not to be noted in the book, indicate on the file cover Indicated changes, if any, in the standing guard file Remove routine papers from the main file For Class A file proposed to be printed, edit file and suggest number of copies to be printed Complete all reference and mark previous and later reference on the subject on the file cover Initial the entries on the file cover Submit the file to the Office Superintendent November 17, 2011
Recording Procedure (contd) 02. If no action is pending on the file, the OS will: Approve or modify the action proposed in sub para (1) of para 66 Ensure that action as per 66 (1)(g) & (h) is taken Sign on the NSP and initial entries on the file cover If file is proposed to be recorded under Class A, obtain approval of the Branch Officer Pass the file onto the Records Clerk November 17, 2011
Recording Procedure (contd) 03. The Records Clerk will: Enter the file number in the register for watching the progress of recording Enter Class C files proposed to be retained for not more than 03 (THREE) years in the Record Review Register Write the word RECORDED prominently with red ink across the entries in the FMR Ink page numbers and other references by pencil Indicate the year of review on the file cover in case of Class C records Prepare fresh cover, wherever necessary, with all the entries already made there Hand over the file/records to the daftary after putting the initials appropriately on the file cover November 17, 2011
Recording Procedure (contd) 04. Daftary will repair damaged files/papers, stitch them and submit to the OS 05. Satisfied that the file are properly recorded, the OS will sign the outer cover and return the file to the Record Clerk 06. The Record Clerk will enter the file number in the register and hand it over to the Daftary for keeping in the records file November 17, 2011
Custody of Records ( see Para 66 of State MOP) Recorded files to be kept serially arranged in the sections concerned for NOT MORE THAN 03 (THREE) CALENDAR YEARS . Transferred to departmental records room thereafter. If work is transferred from one to another section, relevant files also to be transferred after listing in duplicate. One copy of list for taking over section and other to be acknowledged by taking over section and returned to the section from where received November 17, 2011
Custody of Records (Contd..) Files list in duplicate to accompany files transferred to departmental records room. Departmental records room to verify all files listed and acknowledge on duplicate copy. Records room to keep these lists section-wise in separate file covers Departmental records room to maintain records review register where a page will be allotted for every future year. Class C files marked for review in a particular year will be entered in the pages earmarked for that year in the register November 17, 2011
Thanks November 17, 2011

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File numbering system

  • 1. File Numbering System Prepared by: Bhim Thatal Deputy Secretary and Faculty Accounts and Administrative Training Institute; Government of Sikkim November 17, 2011
  • 2. Conventional and Functional File Numbering System November 17, 2011
  • 3. Conventional Filing System File No: 8/3/11-Adm Constituents: (a) Standard Head or Main Heading (b) Standard Sub-Head or Aspect Heading List of Subjects: Each section maintains approved lists of standard Heads and Sub-Heads and reviews these every year. Section oriented approach November 17, 2011
  • 4. Numbering: Consecutive serial nos. allotted to Standard Head but NOT to stasndarised subheads File No consists of : (a) S.No. of Standard Head (b) S. No. of file opened during the year (c) Last two digits of the file opening year First two digits separated by / slant and last two digits by - hyphen November 17, 2011
  • 5. Functional Filing System Functional Filing System is an alphanumeric system and a file number under this consists of the following elements: A single alphabet representing the Basic Head followed by a hyphen as the Separator. A 2-digit group of Arabic numerals representing Primary Head followed by zero as the Separator. A 2-digit group of Arabic numerals identifying the Secondary Head followed by a slant stroke as a Separator. Serial number of the file opened during the year under the Secondary Head, followed by a slant stroke as the Separator. November 17, 2011
  • 6. A 4-digit number representing the year, followed by a hyphen as the Separator. A group of abbreviating letters representing the Division / Section opening the file A list of Basic/Functional Heads, Primary Heads and Secondary Heads 3 . In this list Headings preceded by letters of alphabet are the Basic / Functional Heads. The Primary and Secondary Heads have been identified by headings of their respective columns. November 17, 2011
  • 7. Example : Suppose the Accounts Section need to open a file about Grant of Overtime Allowance. A reference to the list of Heads will show that this subject comes under the: Functional Head: G. Finance, Budget, Cash & Accounts, Primary Head: 14. Allowances, and Secondary Head: 18. Overtime allowance Supposing, further that they have already opened 5 files about the Overtime Allowance during this year. his will thus be the sixth file on the subject in the year 2004. November 17, 2011
  • 8. The file No. in this case will, therefore, be structured as: G 14018/ 6 /2004 Accts .:- G = Basic/Functional Head, - = Hyphen as separator, 14 = Primary Head, 0 = Separator 18 = Secondary Head / = Separator 6 = S.No. of file opened on the subject this year / = Separator 2004 = Year in which file is being opened - = Hyphen as Separator Accts. = Abbreviated name of the Section. November 17, 2011
  • 9. Filing System in Government of Sikkim (see Para 55 & 56 of MOP, 1998, GoS) Subject classification based: Standard head: main subject heading Standard subheads: aspect of standard head Standard head has consecutive serial number Standard sub head DOES NOT have numbers List of A and B reviewed and revised every year with the approval of Branch Officer concerned Serial number once allotted not to be changed Dealing hand to ascertain standard head to which PUC relates. Proposes suitable title, of the file to be opened, for approval November 17, 2011
  • 10. Title to be brief but also indicate content at a glance Separate file for each distinct aspect Title to be concise not general Should not attract large number of receipts on different aspects of the matter If issue in FR or current note on file goes beyond the original scope THEN ONLY Open a new file after placing relevant extracts or copies November 17, 2011
  • 11. Numbering : GOS (Government of Sikkim) Department or its abbreviation Year File no. (Serial number allotted to Standard Head) Serial number of file opened under sub head Symbol/abbreviation that identifies the section EXAMPLE: A file opened in Home Department in 1998 under Standard Head bearing serial number 3 pertaining to Protocol Section will read like this: GOS/Home/2011-12/3-Protocol November 17, 2011
  • 12. File Register (see Para 58 of MOP, 1998, GoS) Maintained by diarist, it consists of records of files opened in a calendar year Approved Standard Heads and Serial Number identifying them to be pasted on the beginning of the register Pages allotted to Standard Head to be indicated against them November 17, 2011
  • 13. Part File (PF) (see Para 59 of MOP, 1998, GoS) (1) PF is created when: Main file is unavailable and processing FR is necessary When two or more sections/officers are required to be consulted simultaneously and it is necessary for each of them to see the receipt noted upon (2) PF consists of: Receipt or notes dealt with Related notes (3) Where more than two PFs are opened, number them as Part File I, Part File II. Merge PFs with the main file immediately, remove any duplicate papers November 17, 2011
  • 14. Transfer, Reconstruction & Renumbering of Files (see Para 60 of MOP, 1998, GoS) Consider this when: Work is transferred from one Department/Section to another Transferring agency to promptly transfer all records and files, both current and closed to the new Department/Section Department/Section taking over the transferred records and files NOT to divide, reclassify nor renumber the closed files transferred to it Make efforts to close the current files sooner at possible stage and open new files as per the scheme and classification of the Department/Section November 17, 2011
  • 15. Movement of File and other Papers (see 61 of MOP, 1998, GoS) Enter file movement in File Movement Register (FMR) When current files are linked, mark movement of linked file in space allotted in FMR for the file with which the file is linked and also individually in space allotted for linked file When recorded files are put up with a file mark the movement of the recorded file in the space allotted in the FMR for the file with which it is put up Note on the remarks column of Section Diary about the movement of the files the files received from other departments/sections and other receipts not brought on to a file in the receiving section DONT issue current files to other sections without written requisition, and without marking it in the FMR November 17, 2011
  • 16. Movement of File and other Papers (contd..) Route Files and papers marked by the Under Secretary to other officers, sections or departments through the section for noting their movement When the Under Secretary personally hands over such files or papers to other officers/sections, (s)he MUST inform the section and ensure recording of their movement in the FMR Personal staffs (PS)of Deputy Secretary and above should maintain records of papers received by their officers in respective personal section diary. PS to note movement of any paper/record handed over personally to higher officer, Minister. PS to route papers/files marked by them to other department through concerned section for movement record 7 November 17, 2011
  • 17. Recording Procedure ( see Para 66 of State MOP) 01.After OS marks file for record, dealing hand will: Suggest appropriate classification as per instruction & for Class C file, specify retention period & review year If necessary, revise file title to describe content at that stage If decisions ion the file are to be noted or not to be noted in the book, indicate on the file cover Indicated changes, if any, in the standing guard file Remove routine papers from the main file For Class A file proposed to be printed, edit file and suggest number of copies to be printed Complete all reference and mark previous and later reference on the subject on the file cover Initial the entries on the file cover Submit the file to the Office Superintendent November 17, 2011
  • 18. Recording Procedure (contd) 02. If no action is pending on the file, the OS will: Approve or modify the action proposed in sub para (1) of para 66 Ensure that action as per 66 (1)(g) & (h) is taken Sign on the NSP and initial entries on the file cover If file is proposed to be recorded under Class A, obtain approval of the Branch Officer Pass the file onto the Records Clerk November 17, 2011
  • 19. Recording Procedure (contd) 03. The Records Clerk will: Enter the file number in the register for watching the progress of recording Enter Class C files proposed to be retained for not more than 03 (THREE) years in the Record Review Register Write the word RECORDED prominently with red ink across the entries in the FMR Ink page numbers and other references by pencil Indicate the year of review on the file cover in case of Class C records Prepare fresh cover, wherever necessary, with all the entries already made there Hand over the file/records to the daftary after putting the initials appropriately on the file cover November 17, 2011
  • 20. Recording Procedure (contd) 04. Daftary will repair damaged files/papers, stitch them and submit to the OS 05. Satisfied that the file are properly recorded, the OS will sign the outer cover and return the file to the Record Clerk 06. The Record Clerk will enter the file number in the register and hand it over to the Daftary for keeping in the records file November 17, 2011
  • 21. Custody of Records ( see Para 66 of State MOP) Recorded files to be kept serially arranged in the sections concerned for NOT MORE THAN 03 (THREE) CALENDAR YEARS . Transferred to departmental records room thereafter. If work is transferred from one to another section, relevant files also to be transferred after listing in duplicate. One copy of list for taking over section and other to be acknowledged by taking over section and returned to the section from where received November 17, 2011
  • 22. Custody of Records (Contd..) Files list in duplicate to accompany files transferred to departmental records room. Departmental records room to verify all files listed and acknowledge on duplicate copy. Records room to keep these lists section-wise in separate file covers Departmental records room to maintain records review register where a page will be allotted for every future year. Class C files marked for review in a particular year will be entered in the pages earmarked for that year in the register November 17, 2011