Samarth

File Management & Tracking System

Document TitleFile Management & Tracking System
Document NumberFMTS-001
Version2.1.3
Author(s)Analyst, Governance
Approved bySenior Manager, Operations
Last Update DateJULY 23rd, 2026

Introduction

File Management Tracking System (FMTS)

The File Management Tracking System (FMTS) is a digital solution designed to manage, track, and monitor the movement of official files within a University or Higher Education Institution (HEI). It streamlines file processing by enabling users to create, forward, review, approve, and track files throughout their lifecycle, ensuring transparency, accountability, and efficient workflow management.

FMTS operates on a Role-Based Access Control (RBAC) mechanism, where users are assigned specific roles and permissions based on their responsibilities within the institution. This ensures that only authorized users can access, process, or manage files, thereby enhancing security, maintaining data integrity, and ensuring compliance with institutional workflows.

DashboardAccessibilityDescription
Admin DashboardConfigure Settings, Manage Files
Print Report and See logs		Any employee with FMTS admin role can configure the settings, manage the files and can print the historical data for a particular file.
Employee DashboardManage Files, Incoming Files
Forward Files		When an employee, who is not an admin, logs into the system, then only Manage Files wil be visible using from which they can only view and manage files created by them and can view and take appropriate action like accepting the hard copy or closing the file or can forwarded the file.

Roles of File Management & Tracking System (FMTS)

S.No.System RoleResponsibility
1file_management_adminThe file_management_admin role is assigned to an administrative employee responsible for managing the File Management & Tracking System (FMTS) within the University/HEI. This role has full administrative privileges to configure module settings, manage master data, monitor the complete file lifecycle, track file movement, generate reports, and initiate files on behalf of users when required. It serves as the primary role for administering and overseeing the overall file management process.
2file_management_admin_viewThe File Management Admin View role is assigned to administrative users who require read-only access to the File Management & Tracking System (FMTS). Users with this role can view all configured module settings, master data, and file-related information, including the status and movement of files initiated across the University/HEI. However, they do not have permission to create, modify, approve, or delete any records. This role is intended for users who need to monitor and review file information without making any changes to the system.
3file_management_departmentThe File Management Department role is assigned to departmental users responsible for processing and managing official files. Users with this role can receive, review, process, and forward files according to the configured workflow. The role ensures that files are routed to the appropriate users or departments and processed efficiently while maintaining accountability and workflow compliance.
4file_receiver_dashboardThe File Receiver Dashboard role is assigned to users who receive official files through the configured workflow. Users with this role can view, read, acknowledge, and maintain the files assigned to them. They cannot modify, forward, approve, or process files unless the required permissions are explicitly assigned through additional roles. This role is primarily intended for monitoring and accessing received files.

FMTS Settings

The following settings are available in the File Management & Tracking System (FMTS). These settings enable administrators to configure file numbering, workflows, priorities, document management, and other module-specific configurations according to the University’s requirements.

S.No.Setting NameDescription
1File TypeThe File Type setting allows administrators to define different categories of files used within the University/HEI, such as Administration, Finance, Academic, Examination, Recruitment, Purchase, or Establishment. These file types help classify files and simplify file management and reporting.
2Diary Number GenerationThe Diary Number Generation setting enables administrators to configure the format and sequence for automatically generating diary numbers for inward and outward correspondence. This ensures every registered document receives a unique diary number.
3Volume NumberThe Volume Number setting is used when a file becomes too large and needs to be divided into multiple volumes. Each new volume is linked to the original file while maintaining continuity through sequential volume numbering.
4File Management Department Role SettingThis setting allows administrators to configure whether files can be forwarded only to users belonging to departmental administrative roles. It helps enforce department-wise file movement and prevents unauthorized routing of files.
5Pagination SettingThe Pagination Setting allows administrators to define the number of records displayed on each page across different module screens such as My Files, Track Files, and Reports, improving usability and performance.
6File Number SettingThe File Number Setting allows administrators to configure the file numbering mechanism. The system supports both Automatic File Number Generation and Manual File Number Override, enabling institutions to follow their existing file numbering conventions.
7Priority SettingsThe Priority Settings allow administrators to configure different priority levels such as High, Medium, and Low. Reminder periods can also be configured so that users receive notifications before the due date, helping ensure timely processing of important files.
8General SettingsThe General Settings section contains module-level configurations that control the overall behavior of the File Management & Tracking System, including default preferences and system-wide options required for day-to-day operations.
9Performa SettingsThe Performa Settings allow administrators to create and manage standard file proformas/templates used during file initiation. These predefined formats help maintain consistency and standardization across official file documentation.
10Workflow SettingsThe Workflow Settings enable administrators to create, configure, and manage file approval workflows. Users, departments, or designations can be assigned to different workflow stages, ensuring files move through the appropriate approval hierarchy.
11File Document CategoryThe File Document Category setting allows administrators to define document categories that can be attached to files, such as Office Orders, Circulars, Notes, Sanction Letters, Purchase Orders, Agreements, or Supporting Documents. This helps organize and classify file attachments efficiently.

1. File Type

The File Type setting allows the File Management Admin to create and manage different categories of files, such as Admission, Recruitment, Academic, Finance, and Administration. These categories help classify files during creation, making them easier to organize, search, and track throughout their lifecycle.

Steps to Add a File Type

  1. Navigate to Settings.
  2. Click File Type.
  3. Click Add File Type.
  4. Enter the required details:
    • File Type Name
    • Description (Optional)
    • Status (Active/Inactive)
  5. Click Save to create the new file type.

Note: The configured file types will be available for selection while creating a new file in the File Management & Tracking System (FMTS).

The File Management & Tracking System (FMTS) supports two types of files:

File TypeDescription
Open FileAn Open File is created when the subject or purpose of the file is already known. It is used to process a specific matter such as recruitment, admissions, finance, purchases, examinations, or any other official activity. The file remains active until all required actions are completed, after which it can be closed.
Closed FileA Closed File is generally created when a document or communication is received through Dak, courier, post, or by hand, and the subject is not known in advance. After reviewing the received documents, the concerned officer initiates or processes the file as required. Once all necessary actions are completed, the file is marked as Closed and maintained for future reference and record-keeping.

Note: Open files are used for ongoing official processes, whereas closed files serve as completed records that can be referred to whenever required.

2. Diary No Generation

In this section, admin will configure the settings needed for diary no. generation at the time of file creation, file forwarding etc.

For this purpose, the admin has to decide whether they want to generate a diary number automatically or manually.

If admin choose that they want to generate diary number automatically, then they have to set up a global template.

Admin has to fill the following fields to set up global template:

  • OU Code

  • User Defined Variable 1

  • User Defined Variable 2

  • User Defined Variable 3

  • Which Separator do you want to use?

  • Do you want to include a year?

  • Do you want to include a month ?

Admin can update the global template by clicking the Update Global Template Button.

Now Admin has to decide whether they want to generate diary numbers globally or OU-wise.

If the admin chooses to generate the diary number OU-wise, then admin has to set up the template of diary number for every organization unit.

Admin has to fill the following fields to set up OU-wise template:

  • Organization Unit\Department

  • OU Code

  • User Defined Variable 1

  • User Defined Variable 2

  • User Defined Variable 3

  • Which Separator do you want to use?

  • Do you want to include a year?

  • Do you want to include a month ?

Admin can View the OU-wise template record by clicking on eye icon.

Admin can update the OU-wise template record by clicking on pencil icon.

Admin can change the status of OU-wise template record by clicking on tick icon.

3.Volume Number

A Volume Number is used to divide a large file into multiple parts while retaining the same file number. Each part of the file is assigned a sequential volume number, such as Volume I, Volume II, Volume III, and so on. This helps organize, manage, and track large files more efficiently while maintaining continuity of the original file.

The File Management & Tracking System (FMTS) provides a set of predefined volume numbers by default. If the University/HEI follows a different numbering convention, additional volume numbers can be created as per institutional requirements.

Add a New Volume Number

To create a new volume number:

  1. Navigate to Settings.
  2. Click Volume Number.
  3. Click Add.
  4. Enter the required details:
    • Volume Number
    • Description (Optional)
    • Status (Active/Inactive)
  5. Click Save.

Note: Newly created volume numbers will be available for selection while creating or managing files that require multiple volumes.

4. File Management Department Role Setting

The File Management Department Role Setting controls which users are eligible to receive files within the File Management & Tracking System (FMTS). This setting helps institutions enforce department-based file routing and ensures that files are forwarded only to authorized users.

Configuration Options

StatusDescription
ActiveFiles can be forwarded only to users who have been assigned the File Management Department role. This ensures that file movement is restricted to designated departmental users and follows the defined organizational workflow.
InactiveFiles can be forwarded to any authorized user, regardless of whether they have the File Management Department role. This provides greater flexibility in routing files across the institution.

Note: It is recommended to keep this setting Active if the University/HEI follows a department-based workflow and wants to restrict file movement to designated departmental users only.

5. Pagination Setting

The Pagination Setting allows the File Management Admin to configure the number of file records displayed per page in the My Files section. This setting improves navigation and enhances the user experience by controlling how many records are shown on a single page.

Configure the Pagination Limit

To configure the pagination setting:

  1. Navigate to Settings.
  2. Click Pagination Setting.
  3. Click the Action button.
  4. Enter the required number of records to be displayed per page.
  5. Click Save.

Note: The configured pagination limit will be applied to the My Files section, allowing users to view the specified number of file records on each page.

6. File Number Setting

The File Number Setting controls how file numbers are generated during file creation.

  • Allow Manual File Number Override (Active): Users can enter the file number manually.
  • File Number Automatic (Active): The system automatically generates a unique file number.

To Update the File Number Setting

  1. Click Settings.
  2. Select File Number Setting.
  3. Click the Action button.
  4. Enable or disable the required option.
  5. Click Save.

Note: In this setting, click the Action button and activate or deactivate the desired option based on your institution’s file numbering requirements.

7. Priority Settings

The Priority Settings allow the File Management Admin to create and manage priority levels for files, such as High, Medium, and Low. The administrator can also configure reminder days for each priority level to ensure timely processing of files.

When creating a file, users can select the appropriate priority level. Based on the configured reminder schedule, the system automatically sends reminder notifications to the current file holder until the file is processed or forwarded.

Configure Priority Settings

To configure priority settings:

  1. Navigate to Settings.
  2. Click Priority Settings.
  3. Click the Add button.
  4. Enter the following details:
    • Priority Name (e.g., High, Medium, Low)
    • Reminder Days
  5. Click Save.

Note: The configured priority levels will be available for selection during file creation. Reminder notifications will be sent automatically according to the configured reminder days for the selected priority.

8. Proforma Settings

The Proforma Settings allow the File Management Admin to create and manage predefined file templates with standard descriptions. These templates help maintain consistency in file creation and reduce manual effort. While creating a file, users can select a predefined proforma, and the corresponding description is automatically populated in the file.

Add a New Proforma

To create a new proforma:

  1. Navigate to Settings.
  2. Click Proforma Settings.
  3. Click the Add button.
  4. Enter the required details:
    • Proforma Name
    • Description
    • Status (Active/Inactive)
  5. Click Save.

Note: The configured proformas will be available for selection during file creation. When a proforma is selected, its predefined description is automatically filled, ensuring uniformity and reducing manual data entry.

My Files

The My Files section displays all files created by the logged-in user. It enables users to create new files, monitor their progress, track their status, and perform actions based on their assigned permissions. Users can manage files from creation until closure while maintaining a complete audit trail of all activities.

Create a New File

To create a new file:

  1. Navigate to My Files.
  2. Click the New File button available in the top-right corner.
  3. Enter all the required file details.
  4. Click Save.

Note: Fields marked with an asterisk (*) are mandatory.

File Details

FieldDescription
File TypeSelect the appropriate file type to categorize the file.
File Title (Sent in Email)Enter the title that will appear in email notifications when the file is created, forwarded, or shared.
File NameEnter a meaningful name to identify the file.
File ProformaSelect a predefined proforma (if applicable). The corresponding description is automatically populated.
Description / SubjectEnter a brief description explaining the purpose of the file.
Allow the Receiver to Forward the FileSpecify whether the recipient can forward the file to another authorized user.
Yes: Receiver can forward the file.
No: Receiver cannot forward the file.
Confidential FileSpecify whether the file contains confidential information.
Yes: File is treated as confidential.
No: File is treated as a regular file.
Visible All ResponsesDetermine whether previous remarks and responses are visible to subsequent users.
Yes: All responses are visible.
No: Previous responses remain hidden.
Volume NumberSelect the appropriate volume (e.g., Volume I, Volume II) if the file consists of multiple volumes.
Year of CreationSelect the year in which the file is created.
Digital FileSpecify whether the file is maintained electronically.
Yes: Digital file.
No: Physical file.
File AttachmentSpecify whether supporting documents should be attached.
Upload File (Scanned Copy)Upload supporting documents or scanned copies (Maximum file size: 10 MB).

Save the File

After entering all required details, click Save.

Note: The file is initially saved in Draft status. While in Draft, users can review, edit, and update the file before forwarding it to the next user.

Timeline

The Timeline section displays the complete history of a file from creation to closure.

It includes:

  • File creation date and time
  • User who created the file
  • File forwarding history
  • Users who received the file
  • Remarks and status updates
  • File closure date and time

The Timeline provides a complete audit trail of the file throughout its lifecycle.

Forward File

The Forward File option allows users to send the file to the next user in the configured workflow after it has been created.

Files can be forwarded to:

  • Administrative Users
  • Department Users
  • Affiliated Users (as applicable)

While forwarding the file, users can also select the priority:

  • High
  • Medium
  • Low

This helps ensure timely processing of urgent files.

Download PDF

The Download PDF option allows users to download the complete file as a PDF.

The downloaded PDF contains all file details and can be used for:

  • Record keeping
  • Printing
  • Sharing
  • Official documentation

Activity

The Activity section displays the complete history of actions performed on the file.

It includes:

  • File creation
  • File updates
  • File forwarding
  • File receipt
  • Remarks
  • Approvals
  • File returns
  • File closure
  • User name
  • Action performed
  • Date and time

This section provides a complete audit trail throughout the file lifecycle.

Yellow Note

The Yellow Note is a temporary draft note used to record observations, comments, suggestions, or corrections before the file is submitted for approval.

It enables communication between the file creator and the reviewing authority without making the note a permanent part of the file.

If approved, a Yellow Note can be converted into a Green Note.

Green Note

The Green Note is an official and permanent note recorded in the File Management System.

It is used to record:

  • Final observations
  • Recommendations
  • Decisions
  • Approvals

Once saved, a Green Note cannot be edited or deleted, ensuring the authenticity and integrity of the file record.

Display Note

The Display Note section allows users to view all notes associated with the file, including:

  • Yellow Notes
  • Green Notes

Depending on access permissions, users can review the complete note history before taking further action.

Comments

The Comments section allows users to record remarks, observations, instructions, and feedback related to the file.

Users can also upload supporting documents with their comments.

Each comment records:

  • User Name
  • Date
  • Time
  • Attachments (if any)

This ensures transparency and complete documentation throughout the workflow.

Attachments

The Attachments section displays all documents associated with the file.

Users can:

  • View attachments
  • Download attachments
  • Verify supporting documents

Attachments include files uploaded during file creation as well as documents added later through comments.

Part Files

The Part File feature allows users to link related files with the current file.

This helps maintain relationships between associated files and improves organization.

Create a Part File

  1. Open the file.
  2. Click Part File.
  3. Enter the following details:
    • File Type
    • File Number
    • File Name
    • File Description
  4. Click Save.

The linked file becomes associated with the main file for easy tracking and management.

Merged Files

The Merged Files feature allows users to combine multiple related files into a single file record.

This functionality helps:

  • Consolidate related records
  • Improve file organization
  • Simplify file tracking
  • Reduce duplication
  • Manage related information from a single location

Merged files enable users to efficiently process and maintain interconnected file records throughout their lifecycle.

Incoming Files

The Incoming Files section displays all files that have been forwarded to the logged-in user by other users or departments through the File Management System (FMS).

This section provides a centralized view of files received for review, action, approval, or further processing. Users can access and manage the received files based on their assigned roles and workflow responsibilities.

From the Incoming Files section, users can perform various actions, including:

  • View file details and processing history.
  • Access attached documents and related records.
  • Add remarks or notes during file review.
  • Take necessary actions as per the defined workflow.

This feature ensures efficient tracking and timely processing of files received from different users or departments while maintaining a transparent workflow record.

Generate a Diary Number

After a file is received in the Incoming Files section, the user must first click the Green button available on the right-hand side of the file listing.

This action generates a Diary Number for the received file, which serves as the official receipt reference for tracking and processing the file.

Once the diary number has been generated, the user can click the Arrow (→) button to open and access the file details.

After opening the file, the user can perform the required actions as per the defined workflow, such as:

  • Review the file details.
  • Add remarks or notes.
  • Forward the file to the next user or department.
  • Return the file for necessary modifications or clarification.
  • Perform other workflow-based actions.

Generating a diary number ensures proper registration and tracking of incoming files throughout the file processing lifecycle.

Process the Received File

After clicking the Arrow (→) button, the user can open the file and perform the required actions based on the file content and the defined workflow.

The user can review the file details, examine the available information, and perform actions such as:

  • Add remarks or notes related to file processing.
  • Attach supporting documents, if required.
  • Forward the file to the next authorized user for further review or approval.
  • Perform other workflow-based actions as permitted by the assigned role.

If the file contains incomplete information, requires corrections, or needs additional clarification, the user can return the file to the previous sender along with appropriate remarks. This allows the sender to make the necessary updates or provide additional information before the file is processed further.

This workflow ensures proper review, communication, and timely processing of files while maintaining a complete record of actions taken during the file lifecycle.

Returned Files

The Returned Files section displays all files that have been returned by the recipient for clarification, correction, or additional information. Users can review the remarks provided by the returning user, make the necessary updates or modifications to the file, and then save and forward the file again for further processing. This ensures that any issues identified during the review process are resolved before the file continues through the workflow.

Sent Files

The Sent Files section displays all files that have been created and forwarded by the logged-in user to other users or departments through the File Management System (FMS). It allows users to monitor the status and progress of files that they have initiated and sent for further processing.

From this section, users can:

  • View the details of sent files.
  • Track the current status and movement of files.
  • Monitor the progress of files with the recipient.
  • Send reminders to recipients for timely action, if required.

Since the file has already been forwarded and is under the ownership of the recipient, the sender cannot forward or return the file from this section. Any further action on the file must be performed by the user currently handling the file as per the defined workflow.

Track Files

The Track Files section allows administrators and authorized users to monitor the complete lifecycle and movement of files within the File Management System (FMS).

This section provides comprehensive details about the file status and workflow history, including:

  • File creation details and creation date.
  • User who created the file.
  • Current user responsible for processing the file.
  • File forwarding and movement history.
  • Details of returned files and remarks (if applicable).
  • Completion or closure status of the file.

The Track Files feature ensures complete visibility and transparency of file movement, enabling administrators and authorized users to efficiently monitor, trace, and manage files throughout the entire workflow process.

Archived Files

The Archived Files section contains files that have been completed, closed, or moved out of the active workflow within the File Management System (FMS). These files are securely preserved for record-keeping, audit purposes, compliance, and future reference.

Authorized users can access archived files to:

  • Search and locate archived records.
  • View file details and processing history.
  • Track previous file movements and actions.
  • Download archived documents, when required.

Since archived files are maintained as historical records, they cannot be edited, forwarded, or processed further. If required, files may be restored by an authorized user, subject to the permissions and configurations defined in the system.

This feature ensures the long-term preservation of important records while maintaining data integrity and providing easy access for future verification and reference.

Report & Advanced Search

The Report & Advanced Search section allows administrators to search, filter, and generate reports for files based on various criteria. Users can apply multiple filters to quickly locate specific files and export the filtered data for reporting and analysis.

The available search filters include:

  • File Reference Number
  • File Number
  • Organization Unit (OU)
  • File Type
  • Diary Number
  • File Forwarded To
  • From Date
  • To Date

Using these filters, administrators can retrieve the required file records and download reports in bulk for record-keeping, monitoring, and audit purposes.

After applying the required filters and generating the report, users can export the available data in multiple formats for record-keeping, analysis, and reporting purposes.

The system provides the following export options:

  • PDF – For official records, printing, and sharing in a fixed document format.
  • CSV – For data analysis, further processing, and maintaining structured records.

The export functionality enables users to easily download, share, print, and preserve filtered file data, ensuring efficient management and accessibility of file-related information.

Export Data

The Export Data section allows administrators to export file-related information for reporting, analysis, and record-keeping. The exported data can be used for monitoring, auditing, and maintaining official records.

The system provides the following export options:

  • Manage File Data – Exports the details of all files created in the File Management System (FMS), including file information and associated records.

  • File Forward Data – Exports the details of all file forwarding transactions, including the file movement history, sender, recipient, forwarding date, and other workflow-related information.

The exported data helps administrators maintain official records, perform audits, analyze file movement, and monitor workflow activities across the organization.

File Tracking

The File Tracking section allows administrators and authorized users to monitor the complete lifecycle and movement of files within the File Management System (FMS).

It provides a detailed activity log of all actions performed on a file, including:

  • File creation details
  • File forwarding history
  • Returned file details and remarks
  • Approval actions
  • File completion and closure status
  • Current status of the file
  • User currently responsible for processing the file
  • Complete file movement history

The File Tracking feature ensures transparency and accountability by maintaining a complete record of file activities. It enables users to efficiently monitor file progress, identify pending actions, and track the workflow movement from file creation to final closure.

Progress Report

The Progress Report section allows administrators to monitor the current progress and processing status of all files in the File Management System (FMS).

It provides detailed information about each file, including:

  • The date and time when the file was last forwarded.
  • The total number of times the file has been forwarded.
  • The current user responsible for processing the file.
  • The duration for which the file has been pending or stuck with the current user.
  • The response and action history taken on the file.
  • The overall progress of the file from creation to completion.

The Progress Report feature helps administrators identify pending files, monitor workflow efficiency, and ensure the timely processing of files throughout the organization.

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