File Numbering SystemFile Numbering System

Prepared by:Prepared by:

Bhim ThatalBhim ThatalDeputy Secretary Deputy Secretary

and Facultyand FacultyAccounts and Administrative Training Accounts and Administrative Training

Institute; Government of SikkimInstitute; Government of Sikkim

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Conventional and FunctionalConventional and Functional File Numbering SystemFile Numbering System

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Conventional Filing SystemConventional Filing SystemFile No: File No: 8/3/11-Adm8/3/11-AdmConstituents:Constituents: (a) Standard Head or Main Heading(a) Standard Head or Main Heading (b) Standard Sub-Head or Aspect Heading(b) Standard Sub-Head or Aspect HeadingList of Subjects: Each section maintains List of Subjects: Each section maintains

approved lists of standard Heads and Sub-approved lists of standard Heads and Sub-Heads and reviews these every year.Heads and reviews these every year.

Section oriented approachSection oriented approach

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Numbering:Numbering:Consecutive serial nos. allotted to Standard Consecutive serial nos. allotted to Standard

Head but NOT to stasndarised subheads Head but NOT to stasndarised subheads File No consists of :File No consists of : (a) S.No. of Standard Head(a) S.No. of Standard Head (b) S. No. of file opened during the year(b) S. No. of file opened during the year (c) Last two digits of the file opening year (c) Last two digits of the file opening year First two digits separated by ‘/’ slant and last First two digits separated by ‘/’ slant and last

two digits by ‘-’ hyphen two digits by ‘-’ hyphen April 7, 2023April 7, 2023 44

Functional Filing SystemFunctional Filing System Functional Filing System is an alphanumeric system and a Functional Filing System is an alphanumeric system and a

file number under this consists of the following elements:file number under this consists of the following elements: A single alphabet representing the Basic Head followed by A single alphabet representing the Basic Head followed by

a hyphen as the Separator.a hyphen as the Separator. A 2-digit group of Arabic numerals representing Primary A 2-digit group of Arabic numerals representing Primary

Head followed by zero as the Separator.Head followed by zero as the Separator. A 2-digit group of Arabic numerals identifying the A 2-digit group of Arabic numerals identifying the

Secondary Head followed by a slant stroke as a Secondary Head followed by a slant stroke as a Separator.Separator.

Serial number of the file opened during the year under the Serial number of the file opened during the year under the Secondary Head, followed by a slant stroke as the Secondary Head, followed by a slant stroke as the Separator.Separator.

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A 4-digit number representing the year, A 4-digit number representing the year,

followed by a hyphen as the Separator.followed by a hyphen as the Separator.A group of abbreviating letters representing A group of abbreviating letters representing

the Division / Section opening the filethe Division / Section opening the fileA list of Basic/Functional Heads, Primary A list of Basic/Functional Heads, Primary

Heads and Secondary Heads Heads and Secondary Heads 33. In this list Headings preceded by letters of . In this list Headings preceded by letters of

alphabet are the Basic / Functional Heads. The alphabet are the Basic / Functional Heads. The Primary and Secondary Heads have been Primary and Secondary Heads have been identified by headings of their respective identified by headings of their respective columns.columns.

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ExampleExample: : Suppose the Accounts Section need Suppose the Accounts Section need

to open a file about Grant of Overtime to open a file about Grant of Overtime Allowance. A reference to the list of Heads will Allowance. A reference to the list of Heads will show that this subject comes under the:show that this subject comes under the:

Functional Head: G. Finance, Budget, Cash & Functional Head: G. Finance, Budget, Cash & Accounts,Accounts,

Primary Head: 14. Allowances, andPrimary Head: 14. Allowances, and Secondary Head: 18. Overtime allowanceSecondary Head: 18. Overtime allowance Supposing, further that they have already Supposing, further that they have already

opened 5 files about the Overtime Allowance opened 5 files about the Overtime Allowance during this year. \This will thus be the sixth file during this year. \This will thus be the sixth file on the subject in the year 2004. on the subject in the year 2004.

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The file No. in this case will, therefore, be The file No. in this case will, therefore, be

structured as: structured as: G – 14018/ 6 /2004 –AcctsG – 14018/ 6 /2004 –Accts.:-.:-

G = Basic/Functional Head,G = Basic/Functional Head,- = Hyphen as separator,- = Hyphen as separator,14 = Primary Head,14 = Primary Head,0 = Separator0 = Separator18 = Secondary Head18 = Secondary Head/ = Separator/ = Separator6 = S.No. of file opened on the subject this 6 = S.No. of file opened on the subject this

yearyear/ = Separator/ = Separator2004 = Year in which file is being opened2004 = Year in which file is being opened- = Hyphen as Separator- = Hyphen as SeparatorAccts. = Abbreviated name of the Section.Accts. = Abbreviated name of the Section.April 7, 2023April 7, 2023 88

Filing System in Government of Sikkim Filing System in Government of Sikkim (see Para (see Para 55 & 56 of MOP, 1998, GoS) 55 & 56 of MOP, 1998, GoS)

Subject classification based:Subject classification based:

A.A. Standard head: main subject headingStandard head: main subject heading

B.B. Standard subheads: aspect of standard head Standard subheads: aspect of standard head Standard head has consecutive serial numberStandard head has consecutive serial number Standard sub head DOES NOT have numbersStandard sub head DOES NOT have numbers List of A and B reviewed and revised every yearList of A and B reviewed and revised every year

with the approval of Branch Officer concernedwith the approval of Branch Officer concerned Serial number once allotted not to be changedSerial number once allotted not to be changed Dealing hand to ascertain standard head to which Dealing hand to ascertain standard head to which

PUC relates. Proposes suitable title, of the file to be PUC relates. Proposes suitable title, of the file to be opened, for approval opened, for approval April 7, 2023April 7, 2023 99

Title to be brief but also indicate content at a Title to be brief but also indicate content at a

glanceglance Separate file for each distinct aspect Separate file for each distinct aspect Title to be concise not generalTitle to be concise not general Should not attract large number of receipts on Should not attract large number of receipts on

different aspects of the matterdifferent aspects of the matter If issue in FR or current note on file goes If issue in FR or current note on file goes

beyond the original scopebeyond the original scope

THEN ONLY THEN ONLY Open a new file after placing relevant extracts Open a new file after placing relevant extracts

or copies or copies

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Numbering :Numbering : GOS (Government of Sikkim)GOS (Government of Sikkim) Department or its abbreviationDepartment or its abbreviation YearYear File no. (Serial number allotted to Standard Head)File no. (Serial number allotted to Standard Head) Serial number of file opened under sub headSerial number of file opened under sub head Symbol/abbreviation that identifies the sectionSymbol/abbreviation that identifies the section

EXAMPLE:EXAMPLE:

A file opened in Home Department in 1998 under A file opened in Home Department in 1998 under Standard Head bearing serial number ‘3’ pertaining Standard Head bearing serial number ‘3’ pertaining to Protocol Section will read like this:to Protocol Section will read like this:

GOS/Home/2011-12/3-ProtocolGOS/Home/2011-12/3-Protocol April 7, 2023April 7, 2023 1111

File Register File Register (see Para 58 of MOP, 1998, GoS) (see Para 58 of MOP, 1998, GoS)

Maintained by diarist, it consists of records of files Maintained by diarist, it consists of records of files opened in a calendar yearopened in a calendar year

Approved Standard Heads and Serial Number Approved Standard Heads and Serial Number identifying them to be pasted on the beginning of identifying them to be pasted on the beginning of the registerthe register

Pages allotted to Standard Head to be indicated Pages allotted to Standard Head to be indicated against themagainst them

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Part File (PF) Part File (PF) (see Para 59 of MOP, 1998, GoS) (see Para 59 of MOP, 1998, GoS)

(1) PF is created when:(1) PF is created when: Main file is unavailable and processing FR is Main file is unavailable and processing FR is

necessarynecessary When two or more sections/officers are required to be When two or more sections/officers are required to be

consulted simultaneously and it is necessary for each consulted simultaneously and it is necessary for each of them to see the receipt noted uponof them to see the receipt noted upon

(2) PF consists of:(2) PF consists of: Receipt or notes dealt withReceipt or notes dealt with Related notesRelated notes

(3) Where more than two PFs are opened, number them (3) Where more than two PFs are opened, number them as Part File I, Part File II.as Part File I, Part File II.

Merge PFs with the main file immediately, remove any Merge PFs with the main file immediately, remove any duplicate papersduplicate papersApril 7, 2023April 7, 2023 1313

Transfer, Reconstruction & Renumbering of FilesTransfer, Reconstruction & Renumbering of Files (see Para 60 of MOP, 1998, GoS) (see Para 60 of MOP, 1998, GoS)

Consider this when:Consider this when: Work is transferred from one Department/Section to Work is transferred from one Department/Section to

anotheranother Transferring agency to promptly transfer all records and Transferring agency to promptly transfer all records and

files, both current and closed to the new files, both current and closed to the new Department/SectionDepartment/Section

Department/Section taking over the transferred records Department/Section taking over the transferred records and files NOT to divide, reclassify nor renumber the and files NOT to divide, reclassify nor renumber the closed files transferred to itclosed files transferred to it

Make efforts to close the current files sooner at Make efforts to close the current files sooner at possible stage and open new files as per the scheme possible stage and open new files as per the scheme and classification of the Department/Sectionand classification of the Department/SectionApril 7, 2023April 7, 2023 1414

Movement of File and other Papers Movement of File and other Papers (see 61 of (see 61 of MOP, 1998, GoS) MOP, 1998, GoS)

1.1. Enter file movement in File Movement Register (FMR)Enter file movement in File Movement Register (FMR)

2.2. When current files are linked, mark movement of linked file When current files are linked, mark movement of linked file in space allotted in FMR for the file with which the file is in space allotted in FMR for the file with which the file is linked and also individually in space allotted for linked filelinked and also individually in space allotted for linked file

3.3. When recorded files are put up with a file mark the When recorded files are put up with a file mark the movement of the recorded file in the space allotted in the movement of the recorded file in the space allotted in the FMR for the file with which it is put upFMR for the file with which it is put up

4.4. Note on the remarks column of Section Diary about the Note on the remarks column of Section Diary about the movement of the files the files received from other movement of the files the files received from other departments/sections and other receipts not brought on to departments/sections and other receipts not brought on to a file in the receiving sectiona file in the receiving section

5.5. DON’T issue current files to other sections without written DON’T issue current files to other sections without written requisition, and without marking it in the FMR requisition, and without marking it in the FMR April 7, 2023April 7, 2023 1515

Movement of File and other Papers Movement of File and other Papers (contd..)(contd..)

6.6. Route Files and papers marked by the Under Secretary to other Route Files and papers marked by the Under Secretary to other officers, sections or departments through the section for noting their officers, sections or departments through the section for noting their movementmovement

7.7. When the Under Secretary personally hands over such files or papers When the Under Secretary personally hands over such files or papers to other officers/sections, (s)he to other officers/sections, (s)he MUSTMUST inform the section and ensure inform the section and ensure recording of their movement in the FMRrecording of their movement in the FMR

8.8. Personal staffs (PS)of Deputy Secretary and above should maintain Personal staffs (PS)of Deputy Secretary and above should maintain records of papers received by their officers in respective personal records of papers received by their officers in respective personal section diary. PS to note movement of any paper/record handed over section diary. PS to note movement of any paper/record handed over personally to higher officer, Minister. PS to route papers/files marked personally to higher officer, Minister. PS to route papers/files marked by them to other department through concerned section for movement by them to other department through concerned section for movement recordrecord

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Recording Procedure Recording Procedure ( see Para 66 of State MOP)( see Para 66 of State MOP)

01.After OS marks file for record, dealing hand will:01.After OS marks file for record, dealing hand will:a.a. Suggest appropriate classification as per instruction & for Suggest appropriate classification as per instruction & for

Class ‘C’ file, specify retention period & review yearClass ‘C’ file, specify retention period & review year

b.b. If necessary, revise file title to describe content at that stageIf necessary, revise file title to describe content at that stage

c.c. If decisions ion the file are to be noted or not to be noted in the If decisions ion the file are to be noted or not to be noted in the book, indicate on the file cover book, indicate on the file cover

d.d. Indicated changes, if any, in the standing guard fileIndicated changes, if any, in the standing guard file

e.e. Remove routine papers from the main fileRemove routine papers from the main file

f.f. For Class ‘A’ file proposed to be printed, edit file and suggest For Class ‘A’ file proposed to be printed, edit file and suggest number of copies to be printednumber of copies to be printed

g.g. Complete all reference and mark previous and later reference Complete all reference and mark previous and later reference on the subject on the file coveron the subject on the file cover

h.h. Initial the entries on the file coverInitial the entries on the file cover

i.i. Submit the file to the Office SuperintendentSubmit the file to the Office SuperintendentApril 7, 2023April 7, 2023 1717

Recording Procedure (contd…)Recording Procedure (contd…)

02. If no action is pending on the file, the OS will:02. If no action is pending on the file, the OS will:

a.a. Approve or modify the action proposed in sub para Approve or modify the action proposed in sub para (1) of para 66(1) of para 66

b.b. Ensure that action as per 66 (1)(g) & (h) is takenEnsure that action as per 66 (1)(g) & (h) is taken

c.c. Sign on the NSP and initial entries on the file coverSign on the NSP and initial entries on the file cover

d.d. If file is proposed to be recorded under If file is proposed to be recorded under Class ‘A’, Class ‘A’, obtain approval of the Branch Officerobtain approval of the Branch Officer

e.e. Pass the file onto the Records Clerk Pass the file onto the Records Clerk

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Recording Procedure (contd…)Recording Procedure (contd…)03. The Records Clerk will:03. The Records Clerk will:

a.a. Enter the file number in the register for watching the Enter the file number in the register for watching the progress of recording progress of recording

b.b. Enter Enter Class ‘C’ Class ‘C’ files proposed to be retained for files proposed to be retained for not more not more than 03 (THREE) yearsthan 03 (THREE) years in the Record Review Register in the Record Review Register

c.c. Write the word ‘RECORDED’ prominently with Write the word ‘RECORDED’ prominently with red ink red ink across the entries in the FMRacross the entries in the FMR

d.d. Ink page numbers and other references by pencilInk page numbers and other references by pencil

e.e. Indicate the year of review on the file cover in case of Class Indicate the year of review on the file cover in case of Class ‘C’ records‘C’ records

f.f. Prepare fresh cover, wherever necessary, with all the Prepare fresh cover, wherever necessary, with all the entries already made thereentries already made there

g.g. Hand over the file/records to the daftary after putting the Hand over the file/records to the daftary after putting the initials appropriately on the file cover initials appropriately on the file cover April 7, 2023April 7, 2023 1919

Recording Procedure (contd…)Recording Procedure (contd…)

04. Daftary will repair damaged files/papers, 04. Daftary will repair damaged files/papers, stitch them and submit to the OSstitch them and submit to the OS

05. Satisfied that the file are properly 05. Satisfied that the file are properly recorded, the OS will sign the outer cover recorded, the OS will sign the outer cover and return the file to the Record Clerkand return the file to the Record Clerk

06. The Record Clerk will enter the file 06. The Record Clerk will enter the file number in the register and hand it over to number in the register and hand it over to the Daftary for keeping in the records filethe Daftary for keeping in the records file

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Custody of Records ( see Para 66 of State MOP)Custody of Records ( see Para 66 of State MOP)

1.1. Recorded files to be kept serially arranged in the Recorded files to be kept serially arranged in the sections concerned for sections concerned for NOT MORE THAN 03 NOT MORE THAN 03 (THREE) CALENDAR YEARS(THREE) CALENDAR YEARS. Transferred to . Transferred to departmental records room thereafter.departmental records room thereafter.

2.2. If work is transferred from one to another section, If work is transferred from one to another section, relevant files also to be transferred after listing in relevant files also to be transferred after listing in duplicate. One copy of list for taking over section duplicate. One copy of list for taking over section and other to be acknowledged by taking over and other to be acknowledged by taking over section and returned to the section from where section and returned to the section from where receivedreceived

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Custody of Records (Contd..)Custody of Records (Contd..)

3.3. Files list in duplicate to accompany files transferred Files list in duplicate to accompany files transferred to departmental records room. Departmental to departmental records room. Departmental records room to verify all files listed and records room to verify all files listed and acknowledge on duplicate copy. Records room to acknowledge on duplicate copy. Records room to keep these lists section-wise in separate file coverskeep these lists section-wise in separate file covers

4.4. Departmental records room to maintain records Departmental records room to maintain records review register where a page will be allotted for review register where a page will be allotted for every future year. every future year. Class ‘C’Class ‘C’ files marked for review files marked for review in a particular year will be entered in the pages in a particular year will be entered in the pages earmarked for that year in the registerearmarked for that year in the register

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ThanksThanks

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