OFFICE MANAGEMENT:

FILES AND RECORDS MANAGEMENT

1. The objectives / policies o! iles "#$ !eco!$s %"#"&e%e#t sh"ll be
to:
Standardize the filing system among various Government agencies;
Improve the documentation and thus facilitate a sound information system for
efficient management;
Ensure proper maintenance, storage and archiving of records;
Expedite decision making and correspondence;
Strictly maintain office secrecy and prevent the untimely and unwarranted
flow of information outside the agency;
Promote individual and collective responsiility and accountaility within the
civil service; and
Economize the government operation!
'. Ge#e!"l st!"te&ies "#$ (!oce$)!es
Cl"ssiic"tio# :
"iles and mail shall e classified as #
$!%!% & 'op secret,
$!%!$ & (onfidential,
$!%!) & Important and *aluale,
$!%!+ & ,outine!
-ccording to urgency the mail shall e classified as#
$!%!. & Immediate,
$!%!/! & 0rgent,
$!%!1 & ,outine!
$!$ Receipt o M"il
-ll incoming official mail including those addressed y name to the 2ead of the
-gency shall e received y the diarist in the central registry! 2owever,
immediate and important mail sent through special messengers may e
received y the addressee himself or y his personal staff and
suse3uently recorded in the diary register!
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4ail classified as urgent or immediate may also e received at the residences of
officers during holiday and after normal office hours! -ll mail thus received shall
e recorded in the entry registry at the earliest opportunity!
'he receipt of all mail, except those received y ordinary post, shall e
acknowledged y the receiver y writing his name and signing in ink in the
messenger ook! ,egistered letters without the acknowledgement cards may e
acknowledged separately y the concerned 5ivision head!
$!) Re&ist!"tio# o %"il
'he letters classified as top secret, or confidential and those addressed y name
shall e handed over to the addressee unopened! -ll other letters shall e
opened y the diarist who shall also check the enclosures and record the missing
ones, if any! 'hese letters shall then e registered in the diary register, the
format for which is given as -nnexure 6-7 to this manual!
8ireless messages, telegrams and letters classified as urgent or immediate shall
e registered on priority asis! -ll letters shall ear a stamp, as per the sample
shown elow, facilitate marking them to the concerned divisions and civil
servants! 'he corresponding serial numer in the diary register, which shall e
identified as the diary numer, shall e written on the letter in the space provided
for in the seal!
*O!&"#i+"tio# N"%e,
5iary 9o! :::::!! 5ate of ,eceipt
:::::::
Sent to
::::!!
:::::::
:::::::
"or Infor! "or -ction

9ormally only one diary register shall e used at a time y an organization!
2owever, in the case of larger agencies, separate registers may e used for
wireless, telegrams and telex messages! If necessary separate registers may e
maintained for each division or separate sections in one register itself may e
allotted for each division!
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'he diary register shall e maintained financial year&wise and must e closed
every year! 'his means that the numer shall e from %, from the registration of
the first letter in a financial year and shall continue until the end of the year!
8hen more than one register is used or mail for individual divisions are entered
in separate sections, separate serial numers ;diary 9o!< may e followed! 'he
entries in the register shall e closed everyday! 'he dates shall e clearly written
at the top of the page commencing the entry, each day!
'.-Dist!ib)tio# o %"il
=etters shall e put up to a designated officer who shall mark them to various
division> sections > units in the space provided for on the stamp! 'hese letters
shall again e sent to the diarist who shall enter them in the diary register and
distriute them among the divisions > sections > units! 'he ?fficer&in&charge of
-dministration and entry registry shall e responsile only to distriute the mail
among the divisions! 5istriuting them further among the sections > units >
individual (ivil Servants shall e the responsiility of the respective division
heads!
'he letters shall e received y the divisions against receipt in the diary register!
It shall e ensured that the mail is received y the divisions at least on the day
following its receipt in the central registry!
$!. I#te!#"l Co#t!ol o M"il
Each division may maintain internal diary preferaly in computer as per the
format given as -nnexure 6G7!
8hen one letter is to e attended y 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 e given to the other division;s< > officer!
It shall e ensured that papers > documents are circulated among the concerned
divisions > officers without delay in order to ensure prompt action!
$!/ Othe! S)b%issio# o p"pe!s to the .e"$ o the A&e#c/ "#$ s)pe!io!s
4ail shall e sumitted to the head of agency and other senior civil servants for
decision along with the concerned file, whenever necessary! 'he relevant
references shall e properly flagged!
$!1 Ti%e li%it o! $ispos"l
Generally all letters should e replied within five working days of its receipt y the
concerned civil servant! 2owever, if a civil servant fails to comply with this
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re3uirement due to the delay in otaining approval of appropriate higher
authorities or such other unavoidale reasons, an interim reply shall e sent
within the stipulated period!
$!@ (e#$i#& ("pe!s 0i#1"!$ lette!s2 ol$e!
-ll correspondence pending for action should e kept in a separate folder with a
title Apending paper folder7! 'he pending papers shall e arranged date&wise and
the remarks or comments, if any, should e recorded in a separate slip attached
to the letters!
'his folder shall e reviewed every day and the numer of letters kept in the
pending papers folder shall e minimized!
$!B Re%i#$e! lette! ol$e!
Every dealing civil servant and division > section > unit head shall maintain a
reminder letter folder! 'he 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! ,eminders shall e sent regularly until the action > reply is otained!
- separate copy of each of the letters for which replies are awaited, shall e
retained in this folder! 'he copy of the letter shall e destroyed when the reply is
received! 'hus the reminder folder shall indicate all the replies to e received at
any given time!
-lternatively, the index of letters for which the place are awaited may e fed into
the computer and the receipt of replies may e entered against the letter 9o! as
and when it is received! 'he status may e reviewed everyday and the
reminders may e sent accordingly!
$!%C Desp"tch o lette!s
-ll outgoing letters shall e registered in a despatch register in the prescried
format! 'he despatch register shall e maintained financial year&wise! 'he serial
numer in the despatch register which is also the despatch numer given on the
outgoing letter, shall egin form % from the first letter issued in a financial year
and it shall e continued until the last letter of the same financial year!
- confidential or top secret letter should e despatched y the concerned dealing
civil servant! Such a letter shall e enclosed in an envelop and should e
marked confidential > secret on the top! It should e sealed with wax to ensure
that it is not opened y any unauthorized person! It shall then e put in another
envelop on which the address is clearly written!
(opies of the confidential letters should not e kept in the chrono file > master
file!
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?utgoing letters, apart from those sent through post, shall e entered in the
messenger ook and shall e delivered only against receipt! 'he despatcher
shall e responsile for checking the receipt of letters y the addressees and to
rectify the discrepancies, if any! 'his shall e done every day! 'he messengers
shall e accountale to the despatcher in this regard and the ?fficer in charge of
-dministration shall supervise the work of the despatcher, diarist and
messengers!
'he despatcher shall also maintain proper accounts of the expenditure incurred
daily on stamps, wireless messages! 'elegrams etc!
'he office copies of letters shall e handed over to the concerned divisional >
sector > unit head, dealing civil servant at the end of everyday!
$!%% Assi&#i#& o N)%be!s to lette!s
'he outgoing letters shall ear numers which would facilitate easy reference!
'he letter numers shall e assigned as 5ept! > =ocation > 5ivision > "ile > Dear >
5espatch 9umer!
Standard code letters shall e assigned to each of the agencies and locations y
the ,(S( in consultation with the concerned line agencies! 'he letters
originating from officers in 'himphu need not specify the location! -lso, the
letters issued from the su&division and other units shall e indicated y suitale
identifying letters written side y side of the divisions separated y a hyphen or
slash!
$!%$! Ch!o#o3ile
-ll outgoing letters except those classified as confidential or top secret, shall
have a chrono&file copy! 'he copies of letters issued each day shall e neatly
arranged in a folder and circulated among all the division > sections > unit heads
and the head of the ?rganization > office! 'he civil servants shall sign on the
cover page to record that they have seen the copies of letters and the folder shall
e returned to the despatcher!
$!%) M"ste! ile
'he chrono&file copies shall e filed date&wise y the despatcher and this shall
form as the master file all outgoing correspondences!
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)! St"#$"!$i+e$ ile cove!
-ll government agencies shall use standardized and uniform file covers! 'he file
cover on the outside cover shall indicate the following#
Ro/"l Gove!#%e#t o 4h)t"#
File No. 5555555555 6ol. 5555555555555
S)bject 5555555555... 55555555555555..
Ope#i#& $"te 55555555.. Closi#& $"te 555555555
No. o p"&es 555555555 55555555555555.
7 Fili#& S/ste%
7.-Smaller organizations consisting of fewer functional divisions > sections > units
may follow a centralized filing system! =arger ?rganizations having
comparatively more working divisions may follow a decentralized filing
system in which the division > section > unit concerned may maintain
separate files for the special suEects dealt with y them!
In order to maintain uniformity, the following standard filing pattern shall e
followed!
7.8-ll files dealing with important suEects such as ,oyal commands, policy
matters etc! shall e considered as special files and the file numers shall
e identified with letters -P"!F,efer to @!/!%G!
7.9-ll suEects concerning -dministrative matters shall start with -54! "iles
dealing with personnel administrative matters shall e identified with the
letters PE,! "iles dealing with accounts matters shall e identified with
letters -((!
7.:'he 9ext two digit numer shall indicate the suEect!
7.;'he year in which the file is eing operated shall e indicated y the last two
digits of the year!
7.<Th)s the ile #)%be!s sh"ll be "llotte$ "s ollo1s:
7.<.1 Speci"l iles 3 S(F
SP">C% & ,oyal (ommands
SP">C$ & 4onastic correspondence
SP">C) & correspondence with ,oyal family
SP">C+ & Sectoral Policy
::: & ::::::
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::: & ::::::
7.<.' (l"##i#& Files 3 (LG
P=GHC% & "ive year plan
P=G>C$ & ProEects I -id&Programmes
P=G>C) & 4onitoring I Evaluation
P=G>C+ & Inspection reports
P=G>C. & Guard file
::: & ::::
::: & ::::
7.<.7 Ge#e!"l A$%i#ist!"tio# 3 ADM
-54>C% & ?ffice organization and staffing Fincluding periodical
reportsG
-54>C$ & Judget!
-54>C) & ?ffice -ccommodation!
-54>C+ ?ffice furniture!
-54>C. ?ffice e3uipments!
-54>C/ 'elephone and stationery!
-54>C1 2ousing I furniture!
-54>C@ ?ffice guest, entertainment and gifts!
-54>CB Permits and identity cards!
-54>%C =irary ooks, 4agazines, 9ewspapers!
-54>%% Postal matters!
-54>%$ Government circulars!
:::! ::::::::!!
7.<.- (e!so##el A$%i#ist!"tio#: (ER
PE,>C% & Personnel policies
PE,>C$ ,ecruitment and selection Fapplications, replies I
Government approvals for advertisementG and
correspondence regarding pulication of advertisements!
PE,>C) -ppointment orders!
PE,>C+ Promotion of staff
PE,>C. 'ransfers!
PE,>C/ 2uman ,esource 5evelopment
PE,>C1 ,etirement and resignation
PE,>C@ Performance evaluation Fof staffG I confidential
,eports! Fonly the general correspondenceG!
PE,>CB 5isciplinary actions!
PE,>%C Salary revision!
PE,>%% eneficiary > 8elfare Schemes
PE,>%$ Personal files!
PE,>%) Personnel information!
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PE,>%+ 4anpower ,e3uirements
:::! ::::::::::!!
7.<.8 Acco)#ts iles 3 ACC
-((>Cthe file index and a new file numer shall e entered in the index of the
receiving department > agency
-((>C%& Policy file
-((>C$ & Plan udget
-((>C) & -nnual udget
-((>C+ & Staff Payments
-((>C. & Purchase ills
-((>C/ & 4onthly accounts
-((>C1 & (onstruction works
::: & ::::::::
Note:
%! Should it e necessary to open separate files for special su&topics under a
main topic, the numer may e expanded y adding slash and numer!
$! 'he personal files shall e opened in alphaetical order and with separate
numers for each individual! 8hen the personal file is transferred from one
agency to another conse3uent upon the transfer of the incument, a new
numer shall e allotted to the file on the asis of the index in the new
department! 'he existing file index and arrangement of numers in the
departments need not e distured in this case! 2owever, the transfer of
the file shall e recorded against its numer in the file index and a new file
numer shall e entered in the index of the receiving department > agency!
)! 'he file index shall e maintained as per the format given in -nnexure 727 in
computer wherever possile! 'he -dm! ?fficer designated and the P!- to
the head of the agency shall maintain a master file index, even in the case
of decentralized filing system! 'he indices shall e preserved as permanent
records:
+! Ope#i#& "#$ closi#& o iles
"iles shall e opened only y the in&charge of administration or the division >
section > unit head, as the case may e! 8hen opening a new file, it shall e
ensured that there is no duplication and also that the suEect is clear! 'he
filesFexcept those to e continued considering the nature of the suEect dealt
withG shall normal e closed at the end of the financial year! 'he capacity of a file
shall e approximately %.C pages after which the file shall e closed even if it is
efore the end of the year and a new file with same numer ut with the next
volume numer shall e opened!
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'he papers shall e properly punched and arranged se3uentially! Page numers
should e serially assigned, from ottom to top!
+! Re%ov"l o lette!s / co!!espo#$e#ce !o% the ile
?rdinarily no paper should e removed from a file! If for reference or record, a
letter > note from the file is re3uired y anyody, only an attested copy shall e
provided! 2owever, should it e essentially re3uired to remove the original of a
letter or note, a copy should e made and kept in the file! It should e clearly
recorded to whom the original paper has een sumitted and when!
,emoval of the original paper shall e made only y the officer&in&charge of
administration of the division > section > units and he shall endorse his signature
having recorded to whom the original has een sumitted!
8 Sto!"&e o ile
& In a centralized system, all current files, except those classified as top secret
and confidential, shall e under the custody of the in&charge of administration!
'he top secret and confidential files shall e kept under he personal custody
of the 2ead of the -gency!
& 'he 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 2ead of
the agency shall e updated from time to time and kept with the in&charge of
administration as well as the P- > Private Secretary to the head of the
-gency!
& In a decentralized system, the files shall e under the custody of the divisional
heads! 'he index of files of his division shall e sumitted to the in&charge of
-dministration!
& 'he files shall e stored in proper racks > cup&oards in accordance with the
file numers in such a way that they are easily identifiale and retrievale!
& Each organization shall have an ade3uately large central file room to safely
store all the closed files! 'he closed files shall e stored division > section
wise and year&wise in accordance with the file numers! -nd index of past
records shall e maintained as per the format given in -nnexure '!
& -n experienced and trained person shall e appointed as in&charge of this
central file store who shall e responsile to store all the closed filles! 'he
movement kof any file out of the central file room should e made only
through him and he shall e responsile for keeping proper record of such
movements!
9. Move%e#t o iles
In order to minimize the risk of misplacing of files the movement of files shall
e properly recorded and monitored! - file shall e sent out of the custody of
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the concerned person only after recording it in the file movement register in
the prescried format! -lso, in the vacant place of the file, a reference card
Fin the prescried formatG may e kept in order to readily know the
whereaouts of the file!
:. Acco)#t"bilit/ i# !e&"!$ to !eco!$ =eepi#&
K - civil servant with whom the responsiility of maintenance and storage of
any Government record is entrusted shall e accountale to the ,oyal
Government in regard to its maintenance, proper and safe custody and timely
production!
K - civil servant shall hand over all the records under his custody to another
civil servant appointed in his place! 'he handing > taking over shall e
recorded, in the prescried format!
K In the event of the 2ead of -gency, top secret and confidential documents,
shall e handed over to his successor, who shall have the option to physically
examine any record that he is re3uired to take over!
: (e!so##el Reco!$s
1!% Personnel records shall include all forms and records prescried in the
civil service rules and manual along with any corrigendum issued thereof,
y the ,oyal Government from time to time!
1!$ Estalishment register
Every 5epartment > -gency is re3uired to maintain an estalishment register as
per the prescried format! -gencies having computer facilities may maintain this
information in the computer, ut in the same format!
'his register shall e maintained y the officer in&charge of -dministration or the
Personnel ?fficer, and every civil servant of the organization shall e included! It
may e maintained division > section > unit wise for convenience!
1!) 4aintenance and storage of Personal "iles
Every personal file of civil servant shall have three parts viz#
& 'he correspondence section
& Service record
& 'he confidential dossier
1!+ 'he correspondence section, which is normally known as the personal file,
shall contain all orders and correspondence related to the individual7s
service, such as#
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& ,(S( -pplication form along with all relevant documents
& 5eclaration of family memers;
& -ppointment order
& ?rder regarding confirmation of service after proation!
& ?rders granting annual increments;
& Promotion orders;
& =eave sanction orders;
& (orrespondence > orders relating to disciplinary actions;
& Petitions sumitted y the incument;
& ?rders > approvals for undergoing training
& 'raining reports
& Special certificates awarded
& 9omination to receive service enefits in the prescried ,(S( form!
:.8 Se!vice !eco!$
- service record in respect of every civil servant shall e maintained in the format
of service record ook approved and circulated y the ,(S(! It shall e uniform
among all departments > agencies! 'he service record is an important document
and it shall e handled with extreme care!
It shall comprise of the following nine sections!
& Personal particulars
& "amily details
& Increments sanction
& Employment 2istory Fthis shall indicate the initial
appointment, all promotions and transfersG#
& -cademic record and 'raining undergone!
& 4eritorious service rendered and awards received!
& 5isciplinary actions taken
& =eave record
& ?ther unspecified ut important service matters!
Each of the entries in the service record shall e attested y the 2ead of the
-gency or an officer to whom such responsiilities are delegated!
& -ll particulars of the (ivil Servant shall e entered in the service record!
Should a civil servant wishes to change his name, he shall do so only with
the permission of the 4inistry of 2ome -ffairs! 'he 4inistry may also
issue fresh citizenship card indicating the new name and issue a
notification to this effect which shall e duly recorded in the service record!
& Should it ecome necessary to correct the date of irth of civil servant,
ased on documentary evidences, prior approval of the ministry
concerned may e otained, who shall upon approval, issue necessary
notification!
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;. Atte#$"#ce Re&iste!
Every 5epartment > -gency is re3uired to maintain an attendance register! 'his
register shall e maintained y the ?fficer&in&(harge of -dministration or
Personnel who shall also check it each day to note the employees at work and to
follow up regularization of the asence of a civil servant, if any! Every (ivil
Servant in the ?rganization shall sign the attendance register upon coming to
and leaving work!
'he haitual unauthorized asence of a civil servant from duties shall e suEect
to administrative actions!
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