OFFICE MANAGEMENT:
FILES AND RECORDS MANAGEMENT
1.
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2.
The objectives / policies for files and records management shall be
to:
Standardize the filing system among various Government agencies;
Improve the documentation and thus facilitate a sound information system for
efficient management;
Ensure proper maintenance, storage and archiving of records;
Expedite decision making and correspondence;
Strictly maintain office secrecy and prevent the untimely and unwarranted
flow of information outside the agency;
Promote individual and collective responsibility and accountability within the
civil service; and
Economize the government operation.
General strategies and Procedures
Classification :
Files and mail shall be classified as :
2.1.1
Top secret,
2.1.2
Confidential,
2.1.3
Important and Valuable,
2.1.4
Routine.
According to urgency the mail shall be classified as:
2.1.5
2.1.6.
2.1.7
2.2
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Immediate,
Urgent,
Routine.
Receipt of Mail
All incoming official mail including those addressed by name to the Head of the
Agency shall be received by the diarist in the central registry. However,
immediate and important mail sent through special messengers may be received
by the addressee himself or by his personal staff and subsequently recorded in
the diary register.
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Mail classified as urgent or immediate may also be received at the residences of
officers during holiday and after normal office hours. All mail thus received shall
be recorded in the entry registry at the earliest opportunity.
The receipt of all mail, except those received by ordinary post, shall be
acknowledged by the receiver by writing his name and signing in ink in the
messenger book. Registered letters without the acknowledgement cards may be
acknowledged separately by the concerned Division head.
2.3
Registration of mail
The letters classified as top secret, or confidential and those addressed by name
shall be handed over to the addressee unopened. All other letters shall be
opened by the diarist who shall also check the enclosures and record the missing
ones, if any. These letters shall then be registered in the diary register, the
format for which is given as Annexure ‘A’ to this manual.
Wireless messages, telegrams and letters classified as urgent or immediate shall
be registered on priority basis. All letters shall bear a stamp, as per the sample
shown below, facilitate marking them to the concerned divisions and civil
servants. The corresponding serial number in the diary register, which shall be
identified as the diary number, shall be written on the letter in the space provided
for in the seal.
[Organization Name]
Diary No.
……………..
…………………
Sent
to For Infor.
…………..
…………………
…………………
Date of Receipt
For Action
Normally only one diary register shall be used at a time by an organization.
However, in the case of larger agencies, separate registers may be used for
wireless, telegrams and telex messages. If necessary separate registers may be
maintained for each division or separate sections in one register itself may be
allotted for each division.
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The diary register shall be maintained financial year-wise and must be closed
every year. This means that the number shall be from 1, from the registration of
the first letter in a financial year and shall continue until the end of the year.
When more than one register is used or mail for individual divisions are entered
in separate sections, separate serial numbers (diary No.) may be followed. The
entries in the register shall be closed everyday. The dates shall be clearly written
at the top of the page commencing the entry, each day.
2.4
Distribution of mail
Letters shall be put up to a designated officer who shall mark them to various
division/ sections / units in the space provided for on the stamp. These letters
shall again be sent to the diarist who shall enter them in the diary register and
distribute them among the divisions / sections / units. The Officer-in-charge of
Administration and entry registry shall be responsible only to distribute the mail
among the divisions. Distributing them further among the sections / units /
individual Civil Servants shall be the responsibility of the respective division
heads.
The letters shall be received by the divisions against receipt in the diary register.
It shall be ensured that the mail is received by the divisions at least on the day
following its receipt in the central registry.
2.5
Internal Control of Mail
Each division may maintain internal diary preferably in computer as per the
format given as Annexure ‘G’.
When one letter is to be attended by more than one division / section / unit the
division to whom it is marked shall retain the original and a copy (photocopy or
typed copy) shall be given to the other division(s) / officer.
It shall be ensured that papers / documents are circulated among the concerned
divisions / officers without delay in order to ensure prompt action.
2.6
Other Submission of papers to the Head of the Agency and superiors
Mail shall be submitted to the head of agency and other senior civil servants for
decision along with the concerned file, whenever necessary. The relevant
references shall be properly flagged.
2.7
Time limit for disposal
Generally all letters should be replied within five working days of its receipt by the
concerned civil servant. However, if a civil servant fails to comply with this
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requirement due to the delay in obtaining approval of appropriate higher
authorities or such other unavoidable reasons, an interim reply shall be sent
within the stipulated period.
2.8
Pending Papers (inward letters) folder
All correspondence pending for action should be kept in a separate folder with a
title “pending paper folder’. The pending papers shall be arranged date-wise and
the remarks or comments, if any, should be recorded in a separate slip attached
to the letters.
This folder shall be reviewed every day and the number of letters kept in the
pending papers folder shall be minimized.
2.9
Reminder letter folder
Every dealing civil servant and division / section / unit head shall maintain a
reminder letter folder. The purpose of maintaining this folder is to know readily of
the letters to which replies are awaited and also to facilitate sending of prompt
reminders. Reminders shall be sent regularly until the action / reply is obtained.
A separate copy of each of the letters for which replies are awaited, shall be
retained in this folder. The copy of the letter shall be destroyed when the reply is
received. Thus the reminder folder shall indicate all the replies to be received at
any given time.
Alternatively, the index of letters for which the place are awaited may be fed into
the computer and the receipt of replies may be entered against the letter No. as
and when it is received. The status may be reviewed everyday and the
reminders may be sent accordingly.
2.10
Despatch of letters
All outgoing letters shall be registered in a despatch register in the prescribed
format. The despatch register shall be maintained financial year-wise. The serial
number in the despatch register which is also the despatch number given on the
outgoing letter, shall begin form 1 from the first letter issued in a financial year
and it shall be continued until the last letter of the same financial year.
A confidential or top secret letter should be despatched by the concerned dealing
civil servant. Such a letter shall be enclosed in an envelop and should be
marked confidential / secret on the top. It should be sealed with wax to ensure
that it is not opened by any unauthorized person. It shall then be put in another
envelop on which the address is clearly written.
Copies of the confidential letters should not be kept in the chrono file / master
file.
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Outgoing letters, apart from those sent through post, shall be entered in the
messenger book and shall be delivered only against receipt. The despatcher
shall be responsible for checking the receipt of letters by the addressees and to
rectify the discrepancies, if any. This shall be done every day. The messengers
shall be accountable to the despatcher in this regard and the Officer in charge of
Administration shall supervise the work of the despatcher, diarist and
messengers.
The despatcher shall also maintain proper accounts of the expenditure incurred
daily on stamps, wireless messages. Telegrams etc.
The office copies of letters shall be handed over to the concerned divisional /
sector / unit head, dealing civil servant at the end of everyday.
2.11
Assigning of Numbers to letters
The outgoing letters shall bear numbers which would facilitate easy reference.
The letter numbers shall be assigned as Dept. / Location / Division / File / Year /
Despatch Number.
Standard code letters shall be assigned to each of the agencies and locations by
the RCSC in consultation with the concerned line agencies. The letters
originating from officers in Thimphu need not specify the location. Also, the
letters issued from the sub-division and other units shall be indicated by suitable
identifying letters written side by side of the divisions separated by a hyphen or
slash.
2.12. Chrono-file
All outgoing letters except those classified as confidential or top secret, shall
have a chrono-file copy. The copies of letters issued each day shall be neatly
arranged in a folder and circulated among all the division / sections / unit heads
and the head of the Organization / office. The civil servants shall sign on the
cover page to record that they have seen the copies of letters and the folder shall
be returned to the despatcher.
2.13
Master file
The chrono-file copies shall be filed date-wise by the despatcher and this shall
form as the master file all outgoing correspondences.
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3.
Standardized file cover
All government agencies shall use standardized and uniform file covers. The file
cover on the outside cover shall indicate the following:
Royal Government of Bhutan
File No. ………………………… Vol. …………………………………
Subject …………………………... ……………………………………..
Opening date …………………….. Closing date ………………………
No. of pages ……………………… …………………………………….
3 Filing System
3.4
Smaller organizations consisting of fewer functional divisions / sections /
units may follow a centralized filing system. Larger Organizations having
comparatively more working divisions may follow a decentralized filing
system in which the division / section / unit concerned may maintain
separate files for the special subjects dealt with by them.
In order to maintain uniformity, the following standard filing pattern shall be
followed.
3.5
3.6
All files dealing with important subjects such as Royal commands, policy
matters etc. shall be considered as special files and the file numbers shall
be identified with letters APF.[Refer to 8.6.1].
All subjects concerning Administrative matters shall start with ADM. Files
dealing with personnel administrative matters shall be identified with the
letters PER. Files dealing with accounts matters shall be identified with
letters ACC.
3.7
The Next two digit number shall indicate the subject.
3.8
The year in which the file is being operated shall be indicated by the last
two digits of the year.
3.9
Thus the file numbers shall be allotted as follows:
3.9.1 Special files SPF/01
SPF/02
SPF/03
SPF/04
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SPF
Royal Commands
Monastic correspondence
correspondence with Royal family
Sectoral Policy
………………
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………
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3.9.2 Planning Files
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PLG?01
PLG/02
PLG/03
PLG/04
PLG/05
………
………
3.9.3 General Administration
ADM/01
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ADM/02
ADM/03
ADM/04
ADM/05
ADM/06
ADM/07
ADM/08
ADM/09
ADM/10
ADM/11
ADM/12
……….
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PLG
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Office organization and staffing [including periodical
reports]
Budget.
Office Accommodation.
Office furniture.
Office equipments.
Telephone and stationery.
Housing & furniture.
Office guest, entertainment and gifts.
Permits and identity cards.
Library books, Magazines, Newspapers.
Postal matters.
Government circulars.
……………………..
3.9.4 Personnel Administration:
PER/01
PER/02
PER/03
PER/04
PER/05
PER/06
PER/07
PER/08
PER/09
PER/10
PER/11
PER/12
PER/13
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Five year plan
Projects & Aid-Programmes
Monitoring & Evaluation
Inspection reports
Guard file
…………
…………
ADM
PER
Personnel policies
Recruitment and selection [applications, replies &
Government
approvals
for
advertisement]
and
correspondence regarding publication of advertisements.
Appointment orders.
Promotion of staff
Transfers.
Human Resource Development
Retirement and resignation
Performance evaluation [of staff] & confidential
Reports. [only the general correspondence].
Disciplinary actions.
Salary revision.
beneficiary / Welfare Schemes
Personal files.
Personnel information.
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PER/14
……….
Manpower Requirements
…………………………..
3.9.5 Accounts files
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ACC
ACC/0the file index and a new file number shall be entered in the index of the
receiving department / agency
ACC/01Policy file
ACC/02 Plan budget
ACC/03 Annual budget
ACC/04 Staff Payments
ACC/05 Purchase bills
ACC/06 Monthly accounts
ACC/07 Construction works
……… ……………………
Note:
1.
Should it be necessary to open separate files for special sub-topics under a
main topic, the number may be expanded by adding slash and number.
2.
The personal files shall be opened in alphabetical order and with separate
numbers for each individual. When the personal file is transferred from one
agency to another consequent upon the transfer of the incumbent, a new
number shall be allotted to the file on the basis of the index in the new
department. The existing file index and arrangement of numbers in the
departments need not be disturbed in this case. However, the transfer of
the file shall be recorded against its number in the file index and a new file
number shall be entered in the index of the receiving department / agency.
3.
The file index shall be maintained as per the format given in Annexure ’H’ in
computer wherever possible. The Adm. Officer designated and the P.A to
the head of the agency shall maintain a master file index, even in the case
of decentralized filing system. The indices shall be preserved as permanent
records…
4.
Opening and closing of files
Files shall be opened only by the in-charge of administration or the division /
section / unit head, as the case may be. When opening a new file, it shall be
ensured that there is no duplication and also that the subject is clear. The
files[except those to be continued considering the nature of the subject dealt
with] shall normal be closed at the end of the financial year. The capacity of a file
shall be approximately 150 pages after which the file shall be closed even if it is
before the end of the year and a new file with same number but with the next
volume number shall be opened.
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The papers shall be properly punched and arranged sequentially. Page numbers
should be serially assigned, from bottom to top.
4.
Removal of letters / correspondence from the file
Ordinarily no paper should be removed from a file. If for reference or record, a
letter / note from the file is required by anybody, only an attested copy shall be
provided. However, should it be essentially required to remove the original of a
letter or note, a copy should be made and kept in the file. It should be clearly
recorded to whom the original paper has been submitted and when.
Removal of the original paper shall be made only by the officer-in-charge of
administration of the division / section / units and he shall endorse his signature
having recorded to whom the original has been submitted.
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Storage of file
In a centralized system, all current files, except those classified as top secret
and confidential, shall be under the custody of the in-charge of administration.
The top secret and confidential files shall be kept under he personal custody
of the Head of the Agency.
The index of files under the custody of the in-charge of administration and the
index of top secret and confidential files kept under the ustody of the Head of
the agency shall be updated from time to time and kept with the in-charge of
administration as well as the PA / Private Secretary to the head of the
Agency.
In a decentralized system, the files shall be under the custody of the divisional
heads. The index of files of his division shall be submitted to the in-charge of
Administration.
The files shall be stored in proper racks / cup-boards in accordance with the
file numbers in such a way that they are easily identifiable and retrievable.
Each organization shall have an adequately large central file room to safely
store all the closed files. The closed files shall be stored division / section
wise and year-wise in accordance with the file numbers. And index of past
records shall be maintained as per the format given in Annexure T.
An experienced and trained person shall be appointed as in-charge of this
central file store who shall be responsible to store all the closed filles. The
movement kof any file out of the central file room should be made only
through him and he shall be responsible for keeping proper record of such
movements.
6. Movement of files
In order to minimize the risk of misplacing of files the movement of files shall
be properly recorded and monitored. A file shall be sent out of the custody of
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the concerned person only after recording it in the file movement register in
the prescribed format. Also, in the vacant place of the file, a reference card
[in the prescribed format] may be kept in order to readily know the
whereabouts of the file.
7.
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Accountability in regard to record keeping
A civil servant with whom the responsibility of maintenance and storage of
any Government record is entrusted shall be accountable to the Royal
Government in regard to its maintenance, proper and safe custody and timely
production.
A civil servant shall hand over all the records under his custody to another
civil servant appointed in his place. The handing / taking over shall be
recorded, in the prescribed format.
In the event of the Head of Agency, top secret and confidential documents,
shall be handed over to his successor, who shall have the option to physically
examine any record that he is required to take over.
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Personnel Records
7.1
Personnel records shall include all forms and records prescribed in the
civil service rules and manual along with any corrigendum issued thereof,
by the Royal Government from time to time.
7.2
Establishment register
Every Department / Agency is required to maintain an establishment register as
per the prescribed format. Agencies having computer facilities may maintain this
information in the computer, but in the same format.
This register shall be maintained by the officer in-charge of Administration or the
Personnel Officer, and every civil servant of the organization shall be included. It
may be maintained division / section / unit wise for convenience.
7.3
Maintenance and storage of Personal Files
Every personal file of civil servant shall have three parts viz:
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7.4
The correspondence section
Service record
The confidential dossier
The correspondence section, which is normally known as the personal file,
shall contain all orders and correspondence related to the individual’s
service, such as:
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RCSC Application form along with all relevant documents
Declaration of family members;
Appointment order
Order regarding confirmation of service after probation.
Orders granting annual increments;
Promotion orders;
Leave sanction orders;
Correspondence / orders relating to disciplinary actions;
Petitions submitted by the incumbent;
Orders / approvals for undergoing training
Training reports
Special certificates awarded
Nomination to receive service benefits in the prescribed RCSC form.
7.5
Service record
A service record in respect of every civil servant shall be maintained in the format
of service record book approved and circulated by the RCSC. It shall be uniform
among all departments / agencies. The service record is an important document
and it shall be handled with extreme care.
It shall comprise of the following nine sections.
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Personal particulars
Family details
Increments sanction
Employment History [this shall indicate the initial
appointment, all promotions and transfers]:
Academic record and Training undergone.
Meritorious service rendered and awards received.
Disciplinary actions taken
Leave record
Other unspecified but important service matters.
Each of the entries in the service record shall be attested by the Head of the
Agency or an officer to whom such responsibilities are delegated.
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All particulars of the Civil Servant shall be entered in the service record.
Should a civil servant wishes to change his name, he shall do so only with
the permission of the Ministry of Home Affairs. The Ministry may also
issue fresh citizenship card indicating the new name and issue a
notification to this effect which shall be duly recorded in the service record.
Should it become necessary to correct the date of birth of civil servant,
based on documentary evidences, prior approval of the ministry
concerned may be obtained, who shall upon approval, issue necessary
notification.
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8.
Attendance Register
Every Department / Agency is required to maintain an attendance register. This
register shall be maintained by the Officer-in-Charge of Administration or
Personnel who shall also check it each day to note the employees at work and to
follow up regularization of the absence of a civil servant, if any. Every Civil
Servant in the Organization shall sign the attendance register upon coming to
and leaving work.
The habitual unauthorized absence of a civil servant from duties shall be subject
to administrative actions.
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