The Government of India Act, 1858, which transferred power from the East India Company to the British Crown, introduced the concept of ‘Charge Handover Notes’ to the Indian bureaucracy. Under this system, retiring officials or those being transferred prepared a document — ‘handover notes’ — for the incoming officials to ensure continuity and accountability in governance.
This essential ingredient of effective administration in the pre-Independence period typically included classified and confidential documents, the status of ongoing/time-bound projects, a note on crucial persons/organisations/NGOs, and a list of informants for police officers. Most civil servants during the British Raj strengthened this practice, which was continued by some in independent India.
Today, this system is barely followed, with central and state governments not issuing any rules or instructions during the transfer or retirement of officials. Although some departments have issued instructions, these are more often breached than followed.
The handover note provided continuity without wasting time in acclimatisation while maintaining accountability and efficiency. It also prevented the caching or loss — deliberate or accidental — of documents and information. The incoming officer was adequately warned about key individuals, organisations, and NGOs who might try to curry favour.
No clear instructions
Today, neither the Department of Personnel and Training at the central level, nor the General Administration Departments at the state level, lay down rules or instructions to prescribe the preparation of ‘Charge Handover Notes’. A reference is found in the General Financial Rules (GFR) of Government of India, containing a provision that says: “apart from the procedure being followed in respect of cash, stores etc…, the officer proceeding on leave, transfer or retirement should also prepare a brief note… describing important cases, major issues and the directions in which they are developing and any other matter that his successor should know.”
The Ministry of External Affairs (MEA) expects and insists that its officers leave a ‘Charge Handover Note’ or a brief for their successors, though there are no formal instructions on how to write them. In 2002, the Railway Board notified that “in addition, all Officers while relinquishing the charge of the post, should also submit a brief note bringing out a summary of the present case(s)/work.”
The Income Tax Department (CBDT) issued instructions in 2011, acknowledging the non-adherence to this practice and directed that “all the officers, including subordinate staff, are therefore directed to give a detailed Handing Over Note to their successors”.
Some state governments have issued instructions at the departmental level. The Bihar Financial Rules, 1950, boast of such a method only for offices dealing with goods and materials. The Himachal Pradesh Administrative Reforms Department issued instructions in 2023, calling for “adherence to formal procedures during handover on transfer in the Public Works Department.
The members of the Civil Service in the United Kingdom leave a formal handover note or succession notes on their transfer. Their ministers also prepare ‘Ministerial Handover Notes’ for successors when the government changes. Similarly, senior civil servants prepare a dossier de passation de service in France and Übergabevermerk (handover note) in Germany. This practice is also prevalent in the US Federal government, though there isn’t a formal handover report.
However, various agencies require retiring and transferred officials to prepare transition documents, briefing papers, or memos. During presidential transitions, “Agency Transition Books” or “Exit Memos” are prepared for the incoming officials, detailing ongoing challenges, policy matters, operations, and budgets.
The US Military has a formal written “Command Handover Brief” covering unit readiness, personnel status, ongoing operations, and property accountability. European militaries (France, Germany, Italy, UK, etc.) also have formal handover/takeover notes whenever an officer changes command. The Indian Army officers also prepare a mandatory Charge Handover/Takeover Note on their transfer and retirement.
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Need of the hour in India
There is a need for formal instructions to be issued in India in this regard. It ensures continuity and monitoring of crucial projects as well as public welfare schemes without disruption and delay. The incoming official becomes conscious of challenges, critical issues, and priorities of his assignment. It assists in utilising the services of stakeholders, NGOs, religious organisations, and social groups in an informed way. It prevents loss or concealment of important documents and information during the transition, promotes accountability for both the incoming and outgoing officers, and enhances the efficiency and effectiveness of the organisation.
Many good and public-oriented initiatives, at times, are not carried forward or built upon due to jealousy by the successors. Subordinates would remain alert and efficacious once they know that the incoming officer has all the information about vital and ongoing projects and the status of various schemes. Such briefing notes are a deterrent to the misleading efforts of unethical subordinates and unscrupulous public men. Once such data is collated at departmental headquarters at the state and central government levels, it will help to monitor and evaluate priority projects and schemes.
Absence of this practice leads to delay in completion of important projects, smooth running of schemes, loss of critical information, disruptions in ongoing projects and tasks, impacting the productivity and efficiency of the team. The incoming officers may struggle to understand their responsibilities, ongoing projects, and key contacts. Not leaving such a note also reflects poorly on the departing officer. It is the common and poor citizen who is more benefited by the timely completion of public projects, and vice versa.
Such a note should include best practices and lessons learnt so that these can be shared with other departments. It helps strengthen policies, procedures, and practices. Recommendations for successor, lists of informants and notorious persons in case of police department, an assessment of junior officers, crucial files, details of available discretionary funds, if any, status of ongoing projects, time sensitive issues and important schemes under implementation, urgent pending policy issues, immediate actionable matters, a list of classified documents, pending tasks and deadlines should form part of such notes.
Some conscientious officers in the states and the central government in India follow this practice at their own level without a formal requirement. Most officers do not have stable tenures, which disincentivises them to follow this custom in the absence of any such instructions. Sometimes the transfers, particularly of heads of crucial departments and agencies, are so abrupt that they leave no time for preparing such briefs.
Personal equations and intra-service jealousy also play their part. Unaware of its impact on administrative efficiency and improvement of delivery of public services, and fear of getting outperformed by their successor, may be other reasons for not preparing handover notes. The state governments and the central government perhaps do not appreciate the role that such notes may play in making administration more efficacious.
Each state government should issue explicit instructions making Charge Handover Note mandatory at the time of transfer and retirement. No joining report at a new place of posting may be accepted unless it is accompanied by the Charge Handover Note.
Approval of pension and arrears of a retiree should be subject to the submission of a Charge Handover Note. The Department of Personnel and Training, Government of India, should issue similar instructions that are mandatory to follow by each department of the Government of India. A dedicated unit needs to be set up at the state level and in each department in the Government of India, to monitor and follow up on the issues brought out in Charge Handover Notes/ Briefs.
Remarks by the reporting officer against the provided columns in Annual Confidential Reports reflecting compliance with these instructions and the quality of Charge Handover Note will guarantee the required seriousness on the part of every official. Compilation of selected and relevant parts of diaries and guidance notes made by ICS officers during British Rule, and distribution thereof among the state and the central government officers by the Government of India, will also help the present bureaucracy to prepare such notes.
The author is a retired IAS officer. Views are personal.
(Edited by Saptak Datta)