Records Management
CSMOP, ISTM, GFR & Retention
Study Notes

• 📜Under Public Records Act, 1993 and Public Records Rules, 1997, each record-creating agency must nominate a Departmental Records Officer (DRO) — not below the level of a Section Officer.

• 📋Files should be recorded after action on all issues considered thereon is completed, as per record retention schedules (Para 10.7).

• 📋Each Department must issue Departmental Instructions to regulate the recording and reviewing of records. These must be periodically reviewed and re-issued.

Files may be recorded under one of three categories:

After action is completed, the Dealing/Initiating Officer in consultation with the supervisory officer should close and record the file through the following 12 steps:

• 📇Files are indexed at the time of their recording.
• ✅Only Category A & B files are indexed.
• ⚡Exception: If a list of recorded files is available in MS-Word or PDF format, indexing is not required.

• 📄Files transferred via Appendix 10.3 (duplicate list). One copy stays with receiver; other is returned to transferor.
• 📖DRR maintains a Record Review Register (Appendix 10.4) with pages allotted for future years.
• 🏛️25-Year Rule: Files reaching their 25th year which survive review are stamped TRANSFERRED TO NAI and sent with a list in triplicate.
• 🔥Preservation Standards: Record rooms must be ventilated, well-lit, fire-safe, moisture-free; records dusted regularly and periodically fumigated.

Manner of Destruction:

• i.The Record Officer prepares progress reports each quarter (in duplicate) on recording and review for the preceding 3 months (Appendices 10.6 & 10.7). Submitted to Section Officer along with: (a) Register for watching progress of recording (Appendix 10.1); and (b) Lists of files received for review (Appendix 10.5).
• ii.The Section Officer checks both statements, submits one copy to the Branch Officer and sends the other to the section handling Internal Work Study.
• iii.The DSIWS/O&M section posts figures in Appendices 10.6 & 10.7, prepares consolidated statement for the Department (Appendices 10.8 & 10.9), watches progress, and brings significant trends to the notice of the O&M Officer and Secretary.

• a.Must maintain registration, dispatch, and file movement registers. Secret papers connected with Cabinet meetings kept in separate folders.
• b.When files are given informally to the Minister, the PS to Minister must be informed. PS tracks movement and ensures file is returned once disposed.

• 📋Each Department may issue departmental instructions to regulate the review and weeding out of records maintained by officers and their personal staff.

Papers required to be kept indefinitely for the administration's use:

• ⚖️Rights & Obligations — Evidence of rights or obligations of/against the government (property titles, deeds, awards, sanctions).
• 📜Major Policy Decisions — Including preparation or modification of legislation.
• 👥Committees & Working Groups — Constitution, functions, and working of important committees and working groups.
• 📚Lasting Precedents — Administrative memoranda, historical reports, legal opinions on important matters.
• 📖Rules & Regulations — Departmental guides or instructions of general application.
• 🏢Organisation & Staffing — Salient features of organisation and staffing of government departments and offices.
• 🏛️Important Litigation — Papers relating to important litigation or 'causes celebres' involving the administration.

Papers of value to historians and research scholars:

• 🌱Origin & Organisation — How a department was created, organised, functioned, and if defunct — how and why it was dissolved.
• 🏆Accomplishments — Data on what the department/agency accomplished (samples or annual reports).
• 🔀Policy Change Indicators — Identified via (a) Summaries for Ministers, (b) Committee appointments, (c) Notes for the Cabinet or Cabinet Committees.
• ⚙️Policy Implementation — Instructions for executing agencies and relevant forms.
• 🌐Public & International Events — Events causing interest/controversy on a national or international plane.
• 📊Trends & Developments — Political, social, economic developments, including unpublished statistical data.
• 📰Citations in Official Publications — Papers cited in or consulted in connection with official publications.
• 🔬Scientific Research & Development — Important aspects of scientific or technical R&D.
• 📍Local Interest Matters — Matters not reasonably available locally, or covering the whole country.
• 🗿Obsolete Investigations — Obsolete activities, abortive schemes in important fields.
• 📜Departmental Historical Sources — Any category treated as genuine historical sources (biographical/antiquarian interest).

• 📄Paper Medium — Traditional paper-based files, registers, reports, correspondence, manuals, maps, and official forms.
• 💾Non-Paper Medium — Floppies, CDs, audio-tapes, micro-films, and cyber space (digital formats).

Records are the end product of an office's informational role — collecting, collating, storing, processing, and disseminating information.

• 🌐External Activities — Various communications received from outside sources.
• 🏠Internal Activities — Analysis of external communications; internal decision-making; communications conveying final decisions.
• 🗒️Mini Records — Aids to facilitate internal working: running summaries of cases, reference folders, standing notes, standing guard files.

Aids to Retrieve Records:

The destruction of records (including correspondences) connected with accounts is governed by these Rules, as prescribed with the concurrence of the Comptroller and Auditor-General.

• ⏱️(i) Papers relating to expenditure within the period of limitation fixed by law.
• 🏗️(ii) Papers relating to expenditure on projects, schemes, or works not completed, even if beyond the limitation period.
• 👤(iii) Papers relating to claims to service and personal matters affecting persons in service (except as indicated in the Annexure).
• 📜(iv) Papers relating to orders and sanctions of a permanent character, until such time as they are revised.
• ❗(v) Papers relating to records in respect of which an audit objection is outstanding.

• 1.Reckoning for Files: Retention period for a file is reckoned from the year in which the file is closed (action completed), not from the year of recording.
• 2.Reckoning for Registers: For records other than files, period is counted from the year in which it has ceased to be current.
• 3.Exceptional Cases: Records may be retained for a longer period than specified if warranted by special features. However, records must never be retained for a shorter period than prescribed.
• 4.Linked Records: If a record is required for disposal of another record, the former will not be weeded out until all issues in the latter have been finally decided, even if its retention period has expired.

• (1)Before any pay bills/pay registers are destroyed, the service of the Government servants concerned should be verified under Rule 257.
• (2)Preservation periods for account records in Public Works Offices are prescribed separately by Government.
• (3)Destruction ordered in writing by Head of Department (or authority empowered by him) on expiry of period, counting from the last day of the latest financial year covered by the record.
• (4)A list of records pertaining to accounts audited by the Indian Audit and Accounts Departments must be submitted to the Audit Officer for opinion before destruction.
• (5)Full details shall be maintained permanently in each office of all records destroyed from time to time.

• ⚠️If an audit objection is received within the five-year period, the file will not be destroyed until the objection is settled to the satisfaction of audit.
• 🔍If local audit does not take place within five years, the Head of Office must ascertain from audit authorities whether they have any objection to weeding out.

• ⚖️1. Rights & Obligations — Evidence of rights or obligations of/against the government (property titles, deeds, awards, sanctions).
• 📜2. Major Policy Decisions — Including preparation or modification of legislation.
• 👥3. Committees & Working Groups — Constitution, functions, and working of important committees and working groups.
• 📚4. Lasting Precedents — Administrative memoranda, historical reports, legal opinions on important matters.
• 📖5. Rules & Regulations — Departmental guides or instructions of general application.
• 🏢6. Organisation & Staffing — Salient features of organisation and staffing of government departments and offices.
• 🏛️7. Important Litigation — Papers relating to important litigation or 'causes celebres' involving the administration.

• 🌱1. Origin of a department — how it was created, organised, functioned, and dissolved.
• 🏆2. Accomplishments — data on what the department/agency accomplished (samples or annual reports).
• 🔀3. Policy Change Indicators — (a) Summaries for Ministers, (b) Committee appointments, (c) Notes for Cabinet or Cabinet Committees.
• ⚙️4. Policy Implementation — instructions for executing agencies and relevant forms.
• 🌐5. Public & International Events — causing interest/controversy on a national or international plane.
• 📊6. Trends & Developments — political, social, economic developments, including unpublished statistical data.
• 📰7. Citations in official publications.
• 🔬8. Scientific or technical research and development.
• 📍9. Local interest matters not reasonably available locally, or covering the whole country.
• 🗿10. Obsolete activities, abortive schemes in important fields.
• 📜11. Departmental sources — genuine historical sources (biographical/antiquarian interest).