Unit 4– Precedent Book
Unit Structure
4.1Objectives
4.2Introduction
4.3What Is Precedent Book?
4.4Why Have A Precedent Book?
4.5How To Use A Precedent Book?
4.6How To Create A Precedent Book?
4.7 How To Update A Precedent Book?
4.8 Let Us Sum Up
4.9 Answer To Self-Assessment Questions
4.1 Objectives
This Unit aims at introducing you to the concept of one
more aid to processing, namely, Precedent Book listed in
"MODULE INTRODUCTION".
On completing this Unit, you will be able to:
a) explain what a Precedent Book is;
b) give examples of utility of a Precedent Book;
c) identify at least two areas in your work situation to
use Precedent Book;
d) use a Precedent Book while processing a case;
e) explain to process of creation of Precedent Book
f) explain the process of its updating and
maintenance; and
4.2
Introduction
In Introduction to this Module, you learnt that Precedent
Book is one of the five aids to processing. Precedent means
prior instance or previous case. If you have work in a policy
section, you would be familiar with Precedent Book. Precedent
Book is useful and is to be maintained not only in nodal
Sections but also in all sections where there is a need for
referring to precedents. For example, you may also find it in
Administration or Finance Sections in any Ministry or attached
office or subordinate office. Even if you are not familiar with this
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aid to processing, this unit should introduce it to you. The
chances are that you too would like to have a Precedent Book in
your section because of the utility it provides. It is also possible
that you could be motivated to identify some of the cases you
have dealt with which are of precedent value and update the
Precedent Book you already have in the section. Or you may
even take initiative in building a new Precedent Book in your
section.
4.3 What Is A Precedent Book?
You are aware that while taking action on receipts, you
are to examine cases with reference to the rules, regulations or
guidelines on the subject. There are, however, instances when
you come across cases where the rules, the regulations or the
guidelines do not provide clear and specific answer for the issue
you are considering. That is the time you look for precedents.
The Manual of Office Procedure suggests maintaining an aid to
help you on such occasions. It is called "Precedent Book" It is a
valuable tool for quick retrieval of past files on the subject
under consideration. It is a Register designed to keep note
of important rulings or decisions having a precedent value
for ready reference. One more important information you will
find in it is the details regarding file number in which the
decision having a precedent value was recorded.
If there is no precedent you are to seek advice from the
nodal Ministry concerned. Often this sort of references result in
delay in disposal of cases. This is mainly because the note sent
may not cover all the issues clearly. Or, the nodal Ministry may
seek additional information to decide the case. If a precedent
does exist and you suggested making a reference to the nodal
Ministry, you would contribute to delay in the decision making
process.
Now that you have some idea about Precedent Book,
think for a while and record in the box below, what you consider
are the details that should be entered in a Precedent Book. If
possible design a format in which you would like to have those
details.
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In-Text Activity
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The Manual of Office Procedure suggests a format, which is as
under:
PRECEDENT BOOK
HEADING:_____________________________________________________
DECISION OR RULING IN BRIEF
FILE NO
The format available in the Manual of Procedure (Appendix-27
of the eleventh edition (1996) provides space to record the three
aspects of information for which you may refer to it --the subject
title, the decision and the file number. The Precedent Book in
most of the Sections is maintained in a thick bound register of
200 pages or so. If you want to use more space for entering
details of decisions, you may consider the following format:
PRECEDENT BOOK
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Heading:
Decision or ruling in brief
Date:
Copy at page
4.4
File No.
in the folder.
Why Have A Precedent Book?
The reasons for having a precedent Book in the section
are:
(a)
(b)
to know whether there is any decision taken
earlier on the issue presently under consideration;
If so, to have the old file number in which the
decision was taken for locating it and linking it with
the current file.
It is thus, helpful in quick retrieval of information/ file and saves
a lot of time. For example, you may be dealing with the case of
"Appointment to the post of Chairman, Central Electricity
Authority". You may have to answer a query on the file as to
whether there has been any past instance(s) where an officer
other than the one belonging to the Central Power Engineering
Service has ever been a Chairman. If you have been working in
the Section for ten years or so, you may remember some such
instance. Or you would know that Guptaji used to deal with if
you are new to the section, you may ask your last few
predecessors-- apart from all your present colleagues in the
section-- to help you. In all of these instances, you could
consider yourself lucky if you get some details like the name of
such an officer or the year in which the file was opened. There
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have been instances in almost all Ministries when people had
spent days to just get file number of such cases with precedent
value!
4.5
How To Use A Precedent Book?
You know that Precedent Book is maintained in a
Register. The Register has all its pages numbered. A few
pages are allotted to each standardised heading. You make
entries under appropriate headings.
These headings are
arranged in an alphabetical order. In case your office follows
conventional filing system, you will only have standard-heads
and sub-heads. On the other hand, if functional filing system is
followed in your office, entries will be made under the
appropriate basic head, primary head and tertiary head. A few
pages are allotted to each standardised heading. This list of
headings and page numbers allotted is pasted on the first page
of the Register.
To use the Precedent Book, you to have to go through the
alphabetical order list of standardised subject headings. For
example, if you are looking for a precedent to decide a case on
seniority, look for alphabet 'S' in the register. You will find the
pages allotted to it. Turn over to that page and you will have
details of the case. After going through the decision recorded
on the relevant page, if you want to see the file, you have the
details of file number to. Then you have locate the file and
read it. If necessary, you may link it with the current file and
submit it to the competent authority for a decision on similar
line. After the file is received back in the section, the old file
with precedent value will be de-linked and returned to its place.
4.6
How To Create A Precedent Book?
Creating a Precedent Book is similar to using it. But first
locate files with precedent value. It is difficult to define the term
"precedent value". You cannot take a rigid view on this that the
entries in this register should be only 'decisions' or 'precedents'.
You may also make entries relating to discussions on file
leading to 'no decision' or 'non-precedents' also. ' No decision'
cases are those which are examined in a file for a decision but
the final outcome is to keep it on hold. For example, processing
a proposal for creation of posts. Let us say that shortly after this
issue is under consideration, an exercise for cadre review is
taken. A view may be taken to hold up the proposal for creation
of posts till the cadre review is completed. This is an instance
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where discussions on file have lead to 'no decision'. If
considered suitable, this 'no decision' may be a fit case for entry
in the precedent Book. Similarly, you may examine a proposal
to grant relaxation to one of the eligibility conditions provided in
recruitment rules for promotion. After discussions on the file,
the Department of personnel, the nodal authority in such cases,
may not agree to the proposal. Strictly speaking, this is an
instance of 'non- precedent', as relaxation was not given; but
still in your Ministry this would be a case with a precedent value
The precedent value is that no relaxation was granted!
You would now appreciate that the only criterion to decide
whether or not a case should be entered in the Precedent Book
is on the basis of whether such a file is likely to be called up
for reference in the near or distant future.
Those of you with some experience of having used a
Precedent Book may have noticed that even though it does give
a gist of the decision taken and the file number, you cannot
submit it as an authentic document to your senior officers while
examining a fresh case of similar nature. They may like to see
the old file to decide the new case. That is when your problem
may start! You may not be able to locate the old file!
A possible solution to this problem may be considered by
going beyond the provisions made in the Manual of Office
Procedures. You may consider taking photocopy of the relevant
correspondence and the notes portions of the file with precedent
value and keep them systematically in a folder. Systematically
would mean giving a fresh page number to the photocopied
papers and keeping a record in the form of an index on the first
page of the folder. You may also note the page reference in the
Precedent Book. Between one set of photocopy of a precedent
and another, you may keep a blank colored sheet as a
separator. This folder should be kept along with the Precedent
Book in a file board. This kind of an institutionalised system
would obviate the need to locate the old file. The Precedent
Book along with the folder-containing photocopy of the relevant
note/ correspondence portions should be kept in a safe place. It
would not be a bad idea to assign this responsibility to someone
in the section through a specific entry in the work-allocation
chart in the section.
You must have seen that a large amount of noting is recorded
before a decision is taken. There are instances where noting
may run across 15 to 20 pages. You would like to have such
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details recorded in the Precedent Book. This is because you use
it to save your processing time by giving crisp and important
details therefore, before making an entry in the Precedent Book
there is a need to have a draft of the decision you are to enter in
it. If you keep photocopy of the relevant note portion then, the
need to prepare the draft could be obviated. You only need to
give the broad details of the decision taken. Example:
One more aspect to be kept in mind while creating
Precedent Book is to make entries under different headings, like
you to indexing of files recorded under category 'A' (you will read
the details of records management in Module- 7 of this Course).
For example, a file containing decision of precedent value is
titled "appointment to the post of Chairman, Central Electricity
Authority". The decision relates to the age limit of the candidate
chosen for appointment. Subsequently, one Shri M.K. Gupta is
appointed. In the precedent book entries for this precedent could
be made under "appointment
", "Chairman, CEA ","Age
Relaxation", "Eligibility Conditions" and "M.K. Gupta".
4.7
How To Update A Precedent Book?
Like any other aids to processing, Precedent Book too would
lose its utility unless it is up-to-date. This is so because there
could be a review of the precedent to meet the current
requirements. Further, there could be new precedents on other
subjects. To update the Precedent Book you are to follow the
same procedure given in Section 4.6.
An interesting question normally asked while considering the
task of updating Precedent Book is not the 'How' aspect but the
' when' aspect. There are people who make entries in the
Precedent Book immediately after taking decisions. There are
others, who prefer to do so at the stage of recording the file.
Those who belong to the later school of thought are basically
those who would like to follow one of the provisions given
elsewhere in the Manual of Office Procedure. In Chapter XI
[para 98, sub-para 1(d)] of the 1996-eleventh edition, the Manual
gives detailed steps to be taken for recording a file. One of the
action listed there is that the dealing hand should extract from
the file, copy of important decisions, documents which are
considered useful for future reference and add them to the
Standing Guard File or the Precedent Book. This is only an
enabling provision to remind people that at least at the stage of
recording a file, action should be taken to update the Precedent
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Book. The general experience in government office is that
record management is not given the kind of importance it
deserves. Therefore, many valuable decisions of precedent
nature remain hidden in the files. There have been many
instances where cases of similar nature have again been
processed with fresh application mind by 6 to 12 or even more
officers depending on the decision making levels! Interestingly,
there are a few instances where two diagonally opposite
decisions have been taken in two cases of similar nature. An
ideal time to make entries in the Precedent Book, therefore,
is immediately after a decision of precedent value is taken.
However, in any case, the entry must be made at least at the
stage of recording the file.
In case, work in your section is reasonably computerised,
you can have the Precedent Book built in it. The procedure is
the same as given in Sections 4.6 and 4.7. The only thing you
have to do is to create a template in the format given in Section
4.3.
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4.8 Self-Assessment Questions
Indicate whether the following statements are 'Correct' or
'Incorrect' by putting a tick or cross mark in the space provided
against each:
1. Precedent Book is to be maintained only in Sections dealing
with policy matters.
(
)
2. Looking for precedent generally is a time consuming work. It
is, therefore, better to process a fresh case again and take
decision.
(
)
3. Precedent Book helps in reducing the time to process case.
(
)
4. Precedent Book is printed on an annual basis.
(
)
5. Precedent Book is systematically divided into sub-sections for
each standardised subject head dealt with in a section.
(
)
6. Even cases where discussions on a file did not lead to a
decision can be entered in the Precedent Book.
(
)
7. The guiding principle to determine whether a 'decision' or 'nondecision' is to be entered in the Precedent Book is whether the
file containing such a 'decision' or 'non-decision' is likely to be
required in the future.
(
)
8. Entry in the Precedent Book is to be made only at the stage of
recording the file.
(
)
4.9
Let Us Sum Up
Precedent Book is an aid to processing. It helps in saving your
time while taking action on a case. It contains details of decision
taken on a case in the pas case, which is not covered by the
provisions contained in the rules or the guidelines. You would
have normally consulted the nodal authority while taking such
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decisions. The Precedent Book also gives the file number for
locating it and linking it with the current file. It has to be updated
on a regular basis. The best way is to make an entry of the
decision with precedent value immediately. In any case, do make
an entry at least at the time of recording a file. Senior officers
normally want to see the old file before clearing the current file. To
save your time to locate the old file, you may retain photocopy of
the relevant notes/correspondence portions and keep them
systematically in a folder. The folder and the Precedent Book
could be kept together in a file board.
Before you proceed first, reflect upon the cases you have
dealt with in the recent past, say a year or so. Record the
decisions contained in the files, which you think, could be called up
for reference in the future to process cases of similar nature.
All you have to do is just write briefly the details of such
decisions. At the end of each such decision create a box like this.
This activity will act as the basis for
you and your colleagues in your Section to build or update
Precedent Book.
In-Text Activity
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4.9 Answers To Self-Assessment Questions
These are only suggested answers.
variations
There could certainly be
1. Incorrect. While Sections dealing with policy matters must
maintain Precedent Book, even other Sections that often
depend on precedents must also maintain it. You have read
the details in Section 4.2
2. Incorrect. It is time-consuming only when a Section does not
systematise its precedents. Maintenance of Precedent Book
will, in fact, greatly reduce the processing time. This is
because there has already been an application of mind by a
team of people in the past. Unless, there is a need to review
the past decision to meet the present changed requirement,
processing cases when a precedent is cited reduces the
processing time. Secondly, processing a similar case again
just because you are unable to locate the precedent could lead
to taking arbitrary and, at times, conflicting decisions on cases
of similar nature.
3. Correct. Explanation given for 2 is also applicable here.
4. Incorrect. It is hand written in a register or keyed in the
computer system as soon as the decision is taken.
5. Correct.
6. Correct. You will find the clarification in question 7!
7. Correct.
8. Incorrect. Entry should be made as soon as the decision is
taken. Otherwise, you will not enjoy the benefits of the
Precedent Book till the recording of the file, which could even
take years! In any case, entry must be made at the stage of
recording the file.
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