MANUAL
OF OFFICE PROCEDURE
Office
of MOIC , Tyuni ,Dehradun
By-Dr.Rajive
Kumar Dikshit,MD,FCCM,MPH
The Manual of
Office Procedure is intended to serve as a guide for
regulating
office procedure in the office of the Heads of Departments. It can
also be
adopted for use in the regional, district or sub-offices of various
Departments
with suitable changes if necessary.
Definitions:
Tappal:
All communications received in the office which are official,
unofficial or
demi-official are until registry known as tappal.
Current:
Communications received in the office which are distributed to
the sections
with the dated seal and a number is called the current. The
number
assigned to a current is called a current number.
Case:
A case consists of current file, note file and any previous papers
and
books put up
for reference.
Current
file: Current file is that part of a case
consisting of papers received,
drafts of
interim references, replies thereto and draft of final orders issued. It
is arranged
chronologically from top to bottom.
Note
file: Note file is that part of a case which
contains the notes written by
clerks and
other officers including the Director. It is written to facilitate the
disposal of
the case.
Disposal:
Disposal is the statement of the final decision of head of office
on
any case
submitted for information and orders.
Back
file: The disposals containing decisions already
taken put up for
reference to
processing fresh cases are called back files.
Drafting:
Drafting is the preparation of any communication which is
proposed to be
issued.
Enclosure:
A communication or a statement or a plan, sketch or other
document which
is attached to another communication to supplement or
elucidate the
point is called an enclosure.
Arising
Reference: Any reference issued from the office which
originates
the file.
Demi-Official
correspondence: A correspondence is called Demi-Official
when Govt.
officers correspond with each other or with any member of the
public on
administrative or official matters without official formality and
with a
personal touch.
Flagging:
Flagging is the process of attaching to the top of papers put up
for
reference in a
case, slips with alphabetical letters.
Linking:
When one case has relevance in relation to another case, both the
cases are
submitted together and this process is called linking of files.
Registry:
A paper is said to be registered when it is given a current no.
and
entered with
abstract in the PR.
Referencing:
Referencing is the process of putting up in a case, previous
correspondence,
laws, rules, reports etc. required for its disposal, flagging
them and
indicating the fact in the margin of the note file/current file.
New
case: A paper which is not connected with a pending
case in the office
or one which
originates in the office is termed as a new case.
Issue:
A term used to denote the process of copying and despatching
communications.
Put
up papers: Put up papers means the previous orders or
other papers
connected with
or having a bearing on the subject of a current under
consideration
and put up with the current.
Official
correspondence: A correspondence is called official when one
Govt. officer
addresses or is addressed by another Govt. officer or by any
public body or
private individual in writing in accordance with certain fixed
rules as to
form, matter and procedure and with the intention that such
correspondence
may be the public record regarding the question discussed.
Section:
The minor division of the office consisting of a Superintendent
and
one or more
clerks.
Old
Case: A reply to a reference issued from the office
or a paper which
though not a
reply of that nature has for any other reason to be filed with the
current
already pending is called an old case.
Tagging:
The current and its enclosures are punched at the top left hand
corner and a
tag is passed through the hole. This process is called tagging.
TAPPAL
All
communication received in the office until numbering is known as
tappal. It may
be cards, envelopes, packets or telegram. Tappal is received
by the tappal
clerk and acknowledged. Telegram received is sent to the
concerned
officer and he will give back the same to the clerk after opening.
Tappal
received after office hours are kept in a box. The same will be
opened on the
next day along with the tappal of that day. Tappal is opened
in the
presence of the Head Office or authorized officer. The officer can
make necessary
instructions at that time on Tappal.
The tappal is
then date sealed, numbered and sorted section wise and
entered in the
Distribution Register by the tappal clerk. Then it is sent to the
Section
Superintendent for distribution to the concerned section clerks along
with the
Distribution Register. The concerned clerk acknowledges the tappal
by taking the
same after verifying the distribution register.
Papers
which need not be entered in DR
Telegraphic
messages, tour programmes, spare copies, unstamped or
insufficiently
stamped petitions, papers wrongly addressed, applications
which are not
in the prescribed form, gazettes, printed pamphlets and
publication
need not be entered in the DR.
When
valuables are received in office
1. Enter them
in the Security Register by Tappal clerk.
2. Separate
from the communications.
3. Hand
over it to the Manager for safe custody after acknowledgement
from the manager.
Stamp
affixed petition
1. Defaced and
punched by Tappal clerk.
2. Superintendent
should see it is done.
Urgent
and telegraphic communications on Holidays
1. Those
received on holidays and out of office hours will be sent to
Head of office
by special messenger.
2. Action
should be taken on the day itself if necessary.
Functions
of Office Section: The office section under the charge of an
Office Supdt.
attends mainly to the receipt of papers, its distribution,
despatch of
outward communications, transmission of disposals to records,
upkeep of
specified registers, procurement and distribution of stationery etc.
Personal
Register:
• Currents
to be acknowledged in the DR and registered in the Personal
Register.
• Only
bound volumes to be used – 10 columns.
• Name
of the Superintendent and Clerk to the pasted on the cover.
• Superintendent
to certify the register.
• New
PR opened for every calendar year.
• Sufficient
blank pages to be left to carry over pending files.
• All
currents to be entered in the PR in the order of current number.
• Normally
3 entries in one page.
• Title/subject
to be brief and clear.
• Nature
of reference issued, reminders sent and received should be
noted.
• Nature
of disposal with date to be noted in red ink in column 10.
• When
closed column(1) should be rounded off in red ink.
• Provide
sufficient lines in the PR when protracted correspondence is
anticipated –
only 1 or 2 entries in one page.
• If
space is inadequate, paste slips.
• Delay
or neglect in entering the currents in the PR amounts to
dereliction of
duty.
• Old
cases need not be given Serial No. while registering in the PR.
Referencing:
Referencing is a process of putting up in a case previous
correspondence,
rules, reports etc. required for its disposal, flagging them
and indicating
the fact in the margin of note file/current file/draft in which
they are
mentioned or quoted.
Every paper
quoted by its number and date in the current file should
be put up. If
it is in the current file, the page number may be indicated in
pencil in the
margin. If it is in a disposed file, it may be obtained from
records and
flagged and the relevant para and page number indicated in
margin.
For every
statement made in the note file, an authority must be quoted.
If it is in
the current file, the page number may be quoted in the body of the
note at the
end of each sentence in brackets in pencil. If it is in a disfile, the
old disposal
is flagged and the disposal number, relevant page and para
noted in the
note file and its flag letter noted in pencil in the margin.
Flagging:
Every disposal files mentioned in the current file or note file to
which a
reference is made in the file, should be put up for reference with
flags attached
to the docket. Flags should not be pinned to any page of the
current
file/note file. When there are more than one disposal for reference,
flags should
be attached in alphabetical order. There must be only one flag
on a disfile.
If there is more than one disposal, one flag should not cover
another. Flags
bearing the same letter should not again be attached to the
disposals put
up for reference in a file.
Linking
of files: Linking of files becomes necessary when a
reference is
made in a file
to a paper or notes or orders in another pending file. The two
files are then
linked and attention invited to the concerned pages of the
linked file.
The principal file is kept above but its strings are tied below and
the file
referred to, is kept below and with its strings the two files are tied.
The papers in
the two files should remain unchanged.
Files should
not be linked unnecessarily. Linking should be made only
if it is
absolutely necessary for disposing of the case. If possible, extracts
from the other
files can be taken and put up to avoid linking of files. If the
two files contain
similar issues, the two files can be combined into one.
Note
file and Current file: A case or file consists of a note
file, current
file and put
up papers, if any. Note file and current file are kept separate till
disposal of
the case. Current file is tagged to a blue fly leaf. Current file
consists of
communications received and references issued. Note file is
separate and
tagged to a yellow fly leaf. Note is written to facilitate the
disposal of
the case. A note is continued till a final decision is taken in the
case.
Noting:
The aim of a note is to present the facts in the most
intelligible,
condensed and
convenient form so that the decision taking authority may
take a quick
and correct decision. Past history of the case, precedents, if any
etc. are to be
mentioned in the note. Rules and regulations and standing
orders
relating to the case should be quoted and discussed briefly. All
materials
should be analyzed and the pros and cons of the matter discussed
properly.
There is no necessity to reproduce the matter contained in the
current file,
but the deficiencies and omissions should be supplied in the
note. It
should be as brief as possible. For ready reference, back files,
extracts of
rules and regulations or reference books should also be put up
along with the
file with proper referencing. Note must run continuously.
Precis of
contents of the current file can be written where the communication
is too
lengthy. The clerks and superintendents are not expected to give any
opinion or
suggestions. In simple cases, a draft can also be put up along with
a note.
Method
of Noting: Notes will be written in foolscap size sheets
with 1/3
margin. On the
top will be written the subject in red ink. The file number
will be noted
on the top left corner. Note sheets will be tagged to a yellow
fly leaf.
Pages on both sides and paragraphs will be given numbers. When a
reference is
issued, that fact will be indicated in square brackets underlined
by red ink in
the note. Similarly, receipt of communications will also be
noted in
square brackets in the note file. Officer's queries in the current file
will be copied
in the note file and answered in the note file. When drafts are
put up for
approval that fact should be indicated in the note file.
Note file will
be separate from the current file till its disposal. Note
file will be
placed above the current file always. While submitting the file to
officers,
blank sheets should be added to the note file. Handwriting should be
legible and
tidy. A note should not end at the very end of a page. Below
each completed
note the clerk or superintendent who prepared it, should put
his initials
and date, in the left hand side.
Drafting:
Drafts are written in separate sheets. Long drafts must be typed.
Sufficient
space should be left for making corrections. They are placed
above the
current file and below the note file. At the head of every draft it
should be
noted whether it is a letter, memorandum or D.O. etc. In draft
letters, the
name, designation of the addressee will come above while in the
proceedings,
memorandum etc. the list of addressees will be given at the
bottom of the
draft. Draft should not contain information more than what is
necessary. The
matter in the draft should not drag government/HOD into
controversies.
Draft must be
complete and brief. As far as possible enclosures should
be minimised.
Self contained drafts are always good. They should be written
in polite but
effective language which can convey the spirit of the decision
taken in the
office. Amount indicated in drafts should be written in words
also;
Piecemeal correspondence should be avoided
Points
to be borne in mind while preparing drafts: Drafts should
be written or
typed in half margin in separate sheets. The margin should not
be used for
writing explanatory notes. Only the flag number of the disposal
quoted or page
number of the current file or note file quoted should be
indicated in
pencil in the margin. Drafts should be complete and brief. A slip
bearing DFA
(Draft For Approval) may be attached with the draft. Nature of
disposal such
as R Dis, D Dis, K Dis, etc. should be indicated above the
draft. The
next reminder date may be indicated below or in the margin.
Enclosures, if
any, to be sent to any of the addressee may be clearly
specified.
Care should always be given for correct usage and good language.
Forms
of Correspondence
• Letter
Form
• Proceedings
Form
• Memorandum
Form
• Endorsement
Form
• Demi-Official
Form
• Circular
Form
• UO
Note Form
• Office
Order Form
• Telegram/Fax
1.
Letter Form
All official correspondence
whether to non-officials or subordinates or
higher
authorities shall be in the form of letter. Letter form should be used
in the
following cases for correspondence.
• Government
• An
equal or higher authority
• The
PSC
• The
Board of Revenue (Land Revenue Commissioner)
• An
Officer not in the administrative control of the Uttrakhand Government
• The
VC or Registrar of the University.
• MLA,
MP
• The
President or Chairman of any Local Self Governing Institution or
Co-operative
Society.
• A
non-official or a non-official association or society of distinction.
• When
one department addresses an officer of another department
• Subordinates
2.
Proceedings Form
When the Head
of the Institution takes an important decision or
records his
decision in exercise of a statutory power, such order is
communicated
in the form of proceedings.
3.
Memorandum Form
It is used
only for internal use of office such as to communicate and
call for
information between the sections of the same office. Charge memo
and show case
notice are issued in the Memorandum Form.
4.
Endorsement Form
When a paper
or its copy has to be sent to a subordinate office for
information or
remarks or disposal, it is sent in the form of an Endorsement.
When it is for
remarks it is N REFERENCE and when it is for information it
is N DISPOSAL.
5.
Demi-Official Correspondence (DO Letter)
When an
officer personally correspond with another officer or non
official
without the formalities of official procedure with the intention of
interchange of
opinion or information or with a view to get the personal
attention of
the officer concerned, DO letter form is used. DO Letters cannot
be referred in
communications.
6.
Circular
Important
instructions of a standing nature to be uniformly followed
by various
authorities are communicated in the form of a circular.
Rules
of correspondence
• Only
the Head of the Department can address the Government directly.
• Regional
officers and District Officers can address the Government
through Head.
• The
contents in any communication must be complete, condensed and
without too
much enclosures.
• Repetition
and unnecessary details should be avoided.
• As
far as possible one topic will be included in one communication.
• DO
letter shall not be quoted in official correspondence.
• The
Head of office shall sign fair copies of letters addressed to higher
authorities.
• In
other cases, by the officer to whom this power is delegated.
• All
communication must be issued in the name of Head of the office.
• All
proceedings must be signed by the Head of office.
• If
the Head does not sign the letter, the word ‘for’ should be entered
before the
designation and authorized person should sign.
• Communication
to the High Court will be addressed to the Registrar
and letters to
PSC will be addressed to the Secretary.
• Letters
to the Corporations/Municipalities will be addressed to the
Commissioner
or the Mayor.
• The
prefix Shri, Smt, Kumari will be used as form of address.
• The
salutation of letters should be ‘Sir’ or ‘Madam’ and the
subscription
should be ‘Yours faithfully’.
• Amount,
if any, specified in the communication should be written in
figures and
words.
Despatch:
The clerk should see that the dispatch has been correctly made
and reminder
dates, if any, noted in the reminder diary. If it is only an
interim
reference, the draft, after issue, will be added to the current file, page
numbered and
the file kept in the shelf. In the case of final disposal, the file
is arranged
properly, the arrangement being first the note file, then the
current file.
On the outside of the disposal jackets are boldly marked, the
name of the
department and office, nature of disposal, pages in the file, year
of the file.
The back file referred to will be noted in the inside of the jacket.
Similarly, the
disfile taken for reference, a forward number will be noted.
Such chain
referencing is very essential. Before sending the disposal to
record, the
Superintendent should satisfy that no further action is necessary.
Records
Section: Records Section is a very important section
as far as an
office is
concerned. The old records, containing important orders and decisions and
valuable registers have to be arranged and kept in a section for future
reference. If these documents are kept in the respective seats they will be
lost. It may not be easy to find them out. Even if they are found out, a lot of
time would be wasted for searching such documents. Therefore, it is necessary
to keep these documents in an arranged manner so that it may be made available
within the shortest time possible. If disposals are kept in the same seat, a
lot of space will also be necessary to keep them. So, a systematic arrangement
is necessary to keep the old records, to make them available for immediate
reference and also for weeding out of the old records.
Disposals:
Different
kinds of disposals
1. R Disposal
: Retain - To be retained permanently
2. D Disposal
: Destroy - To be destroyed after 10 years
3. K Disposal
: Keep - To be destroyed after 3 years
4. L Disposal
: Lodge - To be destroyed after 1 year
5. N Disposals
are those to be sent out in original (need not be retained)
11
6. F Disposals
are those that are to be filed.
X marked on a
paper need not be registered.
XN do not
register but return in original
XL does not
register but lodged.
Only papers of
an ephemeral character which are not numbered will
be given XN/XL
disposal.
Indexing:
The object of indexing is to enable one to trace papers
containing
orders passed on any particular subject. Index slips on all
important
orders passed from a Dept. are consolidated annually and typed or
printed for
perusal of the officer and reference by office. This helps office to
put up for
reference orders of similar nature issued earlier and thus helps to
bring
continuity and consistency in Government administration. A list of standard
heads are given in the MOP. The index contains Head, Sub Head and Title. The
head is selected from the approved list. The head must be a word that will
naturally occur to any one who wants the paper. Consistency is essential in the
selection of index heads. Even if the heads are badly chosen, so long as there
is consistency, there is no harm. After the Head and Sub Head comes local
classification and then title. Brevity is the merit of a title. If the title
gives the message at a sight like press headlines, the title is good. Papers
relating to officers should be indexed under the name of the officer concerned.
Eg: Estt –
Collegiate Education – Promotion and Transfer – Teaching Staff
– Orders
issued.
Checks
on delays and arrears in Office: It is the duty of the
Head of
Office,
Superintendent, Manager to check delays in the transaction of business in their
offices. Their responsibility to check arrears and delays are two-fold: (1) to
ensure proper processing of papers already in the section (2) to ensure that
reports called for from subordinate offices are not delayed.They must
periodically inspect PRs of Clerks, call book, register of periodicals, stock
file etc.
Inspection
of Personal Register: Inspection of personal register
is an
effective
mechanism for checking delay and arrears. The HOD must
prescribe a
schedule for inspection of PRs by the Officers. Supdts, must
inspect the PR
every month. The Inspecting Officer must see that papers are
submitted by
the clerk with in 5 days of receipt. The PR should be
accompanied by
a running note for inspection. The queries or remarks made
based on the
inspection must be answered immediately and registers
resubmitted.
Call
Book: When action in a file for a conceivable time,
say 3 months to
6, is not
active, then such entries are closed in the PR and they are entered in
the call book
to be opened on a specified date or earlier. There should be
only one
common CB for a section. The reopening of files to be ensured by
the Inspecting
Officers.
Reminder
Diary: The RD is primarily intended to remind
initiation of
further action
in any file on a specified future date. The clerk’s first duty on
each working
day is to examine the entries in his RD against that date.
Periodical
Register: Periodical registers should be maintained in
sections
receiving as well as issuing periodical returns to watch their
punctual
receipt and dispatch. Each clerk will maintain a Register.
Lie
over cases: Cases which are ordered by the Head of Office
to be kept
in abeyance
for a definite period, say not exceeding 3 months is known as
Lie over
cases. This type of cases should also be noted in the Reminder
diary, so that
action can be taken at the appropriate time.
Stock
File: Permanent files of important orders should be
maintained for
reference and
should be carefully kept upto date. Each stock file will have a
table of
contents prefixed to it giving the number and date of each paper
filed, its
title and its page in the file for easy reference.
Monthly
Business Statement: The monthly business statement (arrear
list) is
intended to bring to the notice of superior officers the slackness in
disposal or
accumulation of arrears. This is taken as a reflection of the
transaction of
business in the section. Before 5th of
every month each section
has to prepare
its monthly business statement.
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