CHAPTER XVI

 

EFFICIENCY, ORDER & METHOD

 

16.1            Introduction- Every organisation, more particularly a bureaucratic organisation, needs to continuously strive to improve efficiency of performance if it is to remain useful. This involves:

 

-                      constant review of procedures to make improvements;

-                      managing human resources better through training and skill upgradation; and

-                      harnessing new and improved technologies to increase productivity.

 

Accordingly, this Chapter is devoted to the five main areas: - O & M (Order and Method); Inspections; Checks on delays; Training; and Computerisation. Every unit of the Secretariat is intimately concerned with these matters, and has a functional responsibility. Nodal responsibilities are with O & M Section and Training and Computerisation Cells of the Rajya Sabha Secretariat. 

 

Part A: O & M (Order & Method)

 

                The following are the main O & M practices that all Sections should follow (to the extent of applicability):-

 

16.2            Standing Guard Files- Very often important instructions or orders over a period of time on a subject and the instructions applicable at an earlier moment in time may be required to be consulted. Sometimes, the sequence in which orders were issued may be required, or the dates of their applicability. Guard Files, maintained subject wise ensure that a copy of important papers is kept separately and can be consulted with ease.

 

                A Standing Guard File consists of all decisions on a particular subject collected at one place. In order to prepare such files, whenever an important decision is taken, a copy should be endorsed to a Guard file on that subject. The Guard Files will be prepared in each Section/Branch and will be maintained in different parts subject-wise. The subjects which will be included for the purpose of preparation of Standing Guard Files will be determined by the Branch Officer or higher officer. Each part of the Guard File on a given subject will consist of three Sections, namely:-

 

Section I:               An Index containing sub-head wise name of subject of the file and the date and number of decisions or orders.

 

Section II:             Full copies of the decision or orders referred to be placed in chronological order.

 

Section III:            Model forms to be used in the issue of orders, notifications, etc.

 

Whenever any new decision is taken on the subject, it will be suitably incorporated in the relevant Section of the Guard File by the Section Incharge, or under his direction by the Dealing Assistant. The Branch Officer or Section Incharge will indicate the circulars and decisions to be placed in the Guard File by giving initials "GF" on it. Sections which regularly issue instructions of wide applicability and require reference may endorse a copy of such induction to the Guard File directly.

 

Whenever an important decision is to be taken on a subject, it is advisable to consult the Guard File on the subject to ensure that the decision is in conformity with earlier decisions and departure if contemplated, is a conscious one. As soon as a new Officer joins a Section, it will be the duty of the Section Incharge to bring the Standing Guard File of the Section to the notice of the Officer concerned, so that he is properly apprised of the history of decisions on the subject. This will ensure that decision making is quick and logical.

 

16.3        Precedent Register- Not all decisions are taken by issue of orders or circulars. Often-internal decisions may be recorded on the notes portion for applicability within the Section concerned. Such decisions or precedents need to be properly identified and indexed for ready reference in future. For this purpose, a Precedent Register will be maintained in every Section where decisions of this nature are taken. A note of all important decisions and rulings made in the Section will be made in it. The Precedent Register is a guide to find out important decisions taken in the past in the Section, especially where the decision is not issued as a formal communication and therefore does not find place in a Guard File. A decision which is not recorded in the Precedent Register should not be quoted as a precedent. The Branch Officer or the Section Incharge will mark the words "P.R." on the file or receipt if the decision taken in it is to be incorporated in the Precedent Register. The register will be maintained by the Section Incharge or by an Assistant under his directions. The register is an absolute must in all advisory and regulatory Sections to ensure continuity and consistency of decision-making. The following should be kept in view for maintaining the Precedent Register:

 

i)                     The register should start with an index containing subject wise details of decisions forming precedents;

ii)                   The decision should be classified by identifying one or more 'key-words' which describe the decision and its context;

iii)                  The key word is the most important word that is placed first in the title of the subject and on it primarily depends the possibility of finding a file on the subject. This must be a word or words which will normally occur to anyone who is in search of the decision. Sometimes it may be necessary to enter a decision under two or three key words for facility of search.

iv)                 The subject should be filled up in alphabetical order of the key-words where more than one key-word is used;

v)                   The Section Officer will ensure that an entry in the Precedent Register is made correctly soon after an important decision is taken; and

vi)                 The register should not be relegated to the position of a file Register by entering each and every case, nor should it be made a compendium of decisions by entering the decisions made in the other Sections/Branches.

 

Precedents Registers are useful in almost all Sections. In Sections dealing with the House, i.e. Table, Notice, Bill, Lobby, Legislative and Questions, proper maintenance and updating of precedents is essential and must be the personal responsibility of the Executive Officer.

 

16.4            Reports, Returns and their Analysis and review-

 

Correct decision-making depends on the accuracy of the information on which the decision is based. Accordingly it is important to identify the information that is often required, the sources and the frequency with which the information must be updated. For this purpose reports and returns are specified with proforma giving the specification of each item of data. Systematic decision-making is possible only if the reports and returns are properly specified, they are obtained or sent as required, and are compiled and interpreted efficiently.

 

To monitor this, each Section should maintain a printed calendar of all reports and returns due from, and to it. Copies should be hung up in the rooms of Branch Officers and of Section Incharge and, a copy supplied to each dealing Assistant. Section incharge and dealing Assistant should study their calendars and, before a report or return is due, submit for approval a reminder calling the attention of the Officer concerned to the fact that the report is due on a particular date. If the report is not received by the date fixed, the matter should be brought to the notice of the Branch Officer by submitting a draft reminder for approval. The dealing Assistant should start compilation of the report/return immediately on receipt in case the same is to be received from several offices. Where possible, compilation of statistical reports/returns should be computerised for easy compilation and retrieval.

 

In every case where a report is received or return is prepared, a periodic analysis of the compiled data should be carried out on file, interpreting the data, drawing conclusion and taking remedial action or initiating policy changes, as the case may be. The periodicity of the analysis should be specified in respect of each report/return.

 

                The existence of unnecessary reports and returns and other paperwork not only causes infructuous work at all levels but also diverts the time and energy of staff from more important items of work. Reports which have outlived their utility need to be eliminated and other returns rationalised and simplified. In the process it may also be necessary to redesign the existing forms or introduce new ones so as to make the reports more purposeful and adequate as aids to policy making and evaluation.

 

A periodical review of reports and returns should, therefore, be conducted at the time of Inspection of the Section. An inventory of all daily, weekly, fortnightly, monthly, quarterly, half yearly and yearly reports and returns should be drawn up by each Section and thereafter the review should be carried out by the Inspecting Officer, and the results recorded in the Inspection Note. (See para 16.9 also).

 

16.5            Preparation and Review of Annual Action Plans- The purpose of Annual Action Plans is to improve Secretariat efficiency through planning and anticipation. The fact that the functioning of the Secretariat is related to the functioning of the House itself or its Committees does not preclude the Secretariat from identifying goals, or at least likely goals.

 

16.5.1       The objectives of the Annual Action Plan are to:

i)                     Reflect the manner and time-frame of action in respect of activities and functions to be performed during the course of the year;

ii)                   Indicate the milestones and targets to be achieved in a particular month; and

iii)                  To serve as an instrument for monitoring timely and efficient implementation of all programmes and activities.

 

16.5.2       Advantages of Annual Action Plan:

i)                     It enables proper conceptualisation of all the goals proposed to be achieved during the year and matches physical targets and pace of expenditure.

ii)                   It enables identification of milestones and intermediate steps and phasing thereof.

iii)                  It gives an overview of the Sections' progress at various times of the year and functions as a management tool for review, evaluation and corrective action.

iv)                 It ensures that matters not quantifiable as numerical targets and therefore not subject to the usual monitoring are not lost sight of.

v)                   It promotes team work by giving a total picture to all Officers and Staff of the Section enabling them to see how their contribution is relevant to the overall goals of the Section and of the Rajya Sabha Secretariat.

 

16.5.3       Items for Inclusion:

i)                     Goals and objectives to be accomplished during the year;

ii)                   Initiatives required to achieve the goals;

iii)                  Issue of rules and instructions;

iv)                 Programmes in pursuance of goals and instructions;

v)                   Matters of inter-division co-ordination; and

vi)                 All other matters of operational significance for the Section, including computerisation.

 

16.5.4       Preparation of the Annual Action Plan: For preparing the plan, the following may be kept in view:

 

i)                     The Plan initially may be drawn up branch/Section-wise for each Calendar Year, in December of the previous year to enable systematic identification of action points. For identification of major tasks of each Section, it will also be useful to consult the latest Annual Report.

ii)                   The main focus of the Action Plan is on the work of the Secretariat. In relation to the Section, the Action Plan should indicate main features; the detailed implementation modalities which are within the purview of the Sections need not be mentioned here but will naturally get discussed when the Annual Action Plan is reviewed

iii)                  The Annual Action Plan preparation involves identification first of the items, then of goals and then of the intermediate phases in each month. It is important that in each quarter (preferably each month) some identifiable milestones be recorded so that in review, the progress is meaningfully discussed. The milestones may either or in terms of action like approving an action, examining or drafting a report, holding a meeting or getting periodical returns/reports. In due course, as the Annual Action Plan becomes sufficiently detailed and comprehensive, the list of items can be standardised to a greater extent. Till then, the level of detail to which the Annual Action Plan can go will be the discretion of the individual Deputy Secretary/Director.

iv)                 Once the goals are sent and all the primary action points have been identified, and monthly milestones established, event precedent goals/action points (i.e. secondary action points) can be identified and milestones established.

 

16.5.5       Some Specific Points for Inclusion in the Plan:

i)                     For all Sections, drafting and reviewing of the Annual Action Plan itself will be an important action point. Inspection of Sections by the Head of the Section will also be an important action point.

ii)                   For Establishment/Personnel Sections, the following action points could perhaps be included: -

a)                   Holding of annual D.P.C.s for the calendar year for promotions, confirmations, etc.

b)                   Filling in of vacant posts especially creation and filling of important posts.

c)             The process of writing of ACRs.

c)                   The writing/updating of Index Cards and Service Books.

d)                   Preparation of pension papers, etc.

e)                   Preparation and updating Recruitment and Promotion Rules.

f)                    Finalisation of Annual Seniority lists, etc.

g)                   Monitoring progress of Disciplinary cases, vigilance cases.

h)                   Staff welfare and grievance redressal measures.

 

iii)                  For all Sections, action points would include these arising out of the Rules/Manuals/instructions governing the procedures of that Section. In this connection, the procedures in the Rules of Procedure, Rajya Sabha At Work and the Office Manual need to be seen very carefully.

iv)                 Since processing of Legislative matters and Reporting and Publication of Debates are amongst the most important tasks of the Secretariat all aspects related to this need to be reflected in the Annual Action Plan.

v)                   In Committee Section, drafting of Reports, ATRs etc. would be obvious point for inclusion.

vi)                 In Sections publishing documents at the end of each session e.g. Resume, Journal, Statistical information on Questions etc. there would be action points.

vii)                In most Sections, implementation of computerization and creation and updation of computerized data bases are likely to be important points.

 

16.5.6     Review of the Plan: The Plan is more likely to produce a large number of small changes than any major dramatic change, but it is these small changes (at very little extra cost) that make administrative systems more cost-effective and efficient. The following suggestions are made in this regard:

 

i)                     Important item of each Service/Section may be identified (and included for general discussion in Secretary-General's Monday meetings as and when required).

ii)                   The review of the Plan will be held at Branch Officer (i.e. Deputy Secretary/Director) level each month and copy of the review proceedings sent to the Joint Secretary concerned for information.

iii)                  While reviewing the Action Plan, the milestones intended for achievement in the current month should also be quickly recapitulated so that effective steps can be taken for their achievement during the quarter.

iv)                 The Annual Action Plan is a dynamic document. If during the course of review it is found either that some milestone has not been recorded or has not been correctly formulated or that due to changed circumstances additional milestones are required to be included, the correction should be made. Similarly, goals or action points which arise during the year should also be got included.

v)                   The Annual Action Plan review is likely to reveal constraints to quicker achievement of goals. Identification of the constraints, if it can be quickly done, may be discussed in the Annual Action Plan review itself. Major constraints which require inter-Sectional coordination etc. are not so easily amenable to resolution and may even require in depth study and analysis. As such, these should be discussed in Secretary-General's Monday meeting and the decision and its implementation should be reviewed in the next review of the Annual Action Plan. Improved procedures resulting from inter-Sectional co-ordination etc. should be enforced and revised time frame for the achievement of milestones should also be noted, especially for inclusion in the Annual Action Plan. Such a procedure is likely to arise especially in financial and Personnel related matters, transactions with other organisations etc.

vi)                 The Annual Action Plan can be stored in the computer. A program is not needed. Standard software (MS Word or MS Excel) is sufficient. The advantage is that the decisions can be recorded and updated in the column next to the milestone column for each review.

vii)                In order to ensure immediate implementation of the decision, a copy of the print-out should normally be with the Section Incharge concerned and a copy should also be retained by Branch officer personally and reviewed during the next one week so that it is ensured that action on the lines decided in the review meeting is taken quickly by the Section. Others can be intimated by sending a copy by e-mail.

 

16.5.6       Time schedule for preparation of Annual Action Plan: The following time schedules should be observed:-

 

i)              Submission of first draft to O & M Section                     10th November

                (in electronic form)

ii)                   Completion of of scrutiny by O & M Section                 01st December

iii)                  Final draft from O & M Section                                         20th December

iv)                 Approval of Secretary-General                                          31st December

 

16.6            Annual Report-

 

16.6.1     Preparation of the Report: Just as the items for the Plan were initially identified using the Annual Report, in the same way, the items and the performance under the Plan will be the main source for inclusion of items into the next Annual Report. The Action Plan and Annual Report are mutually reinforcing, and need to be viewed as two aspects of the same process.

 

                Work on preparation of the Annual Report should start in December of the year for which the Report is to be prepared, as soon as the Winter Session draws to a close. In certain matters, it may even be possible to start collection of routine information in the previous inter-session, i.e. in October and update it later.

 

                The Annual Report should be informative and specific to enable a reader to obtain quantitative, factual or quantitative information, as per his needs. The following should be kept in view by each Section when it prepares its portion of the Report:

 

i)                     the pattern of the Report in previous year;

ii)                   work done should be in quantitative terms, with a comparison with the previous years’ achievements and current year’s targets;

iii)                  tabular statements should be preferred to running text;

iv)                 text should be brief, to the point and should be in the nature of analysis of the data included in the Report;

v)                   short-falls or higher achievements should be brought out in a separate paragraph, Since the purpose of the Report is informative and not positive, shortfalls should be frankly analysed;