CASE FILE MANAGEMENT AND OFFICE RECORDS SYSTEM

CASE FILE MANAGEMENT AND OFFICE RECORDS SYSTEM

X.1 Purpose

The purpose of this chapter is to establish a clear and systematic method for creating, managing, and archiving case files in the Office of Siridantamahāpālaka and the Dhātu-parinibbāna Society.

The case file system aims to:

1. Protect the Buddha’s sacred relics and the trust of donors and devotees.

2. Prevent and resolve conflicts peacefully and transparently.

3. Ensure accountability, proper documentation, and institutional learning.

4. Support the long-term preservation of Buddhist cultural heritage in line with good governance principles and the Sustainable Development Goals (SDGs), especially SDG 11, 16, and 17.

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X.2 Scope

This chapter applies to:

• All case files created and managed by the Office of Siridantamahāpālaka and the Dhātu-parinibbāna Society.

• All staff, volunteers, and committee members who open, update, or access case records.

• All types of cases connected with relic custodianship, including doctrinal, institutional, pastoral, scientific, conflict, and policy matters.

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X.3 Definitions

Case File
A structured collection of documents, notes, and records related to one specific issue, event, donor, conflict, or project involving Buddha’s sacred relics.

Case ID
A unique identification code given to each case, using the format:

YEAR – TYPE – Sequential Number
(Example: 2022-C-02)

Case Types

• D – Doctrinal / Visionary / Personal Vocation

• I – Institutional / Museum / MoU

• P – Pastoral / Everyday Devotional Practice

• S – Science / Testing / Misinformation

• C – Conflict / Complaint / Investigation

• G – Governance / Policy / Normative Model

Security Level

• Public – can be shared externally.

• Internal – only for Office and Society staff.

• Confidential – limited to authorised officers.

• Sacred-Restricted – includes sensitive spiritual or conflict material.

⭐ Core Case
A case marked as “star” in the internal register because it is of high importance for research, policy, or precedent.

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X.4 Responsibilities

1. Siridantamahāpālaka (Head Custodian)

   • Approves opening and closing of major cases.

   • Decides security level and access rights for sensitive files.

2. Case Officer / Secretary

   • Creates new case files and assigns Case IDs.

   • Keeps the Case Register, Relic Register, and Correspondence Register updated.

   • Ensures that all documents are properly filed and indexed.

3. Committee Members / Advisors

   • Provide input and decisions recorded in the case file.

   • Follow the documentation and access rules of this chapter.

4. All Staff and Volunteers

   • Respect confidentiality and sacredness of relic-related information.

   • Report any loss, damage, or irregularity in documents or relics immediately.

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X.5 Case ID System

Each case must have a unique Case ID. The format is:

YEAR – TYPE – Sequential Number

Examples:

• 2020-D-01 – Dhātu-parinibbāna doctrinal case.

• 2021-I-03 – MoU with a foreign temple.

• 2022-C-02 – HGT conflict case.

If the case is a core research or precedent case, mark it as:

2022-C-02 (⭐)

The Case ID must be written on the Case Cover Sheet, on all related documents, and in all master registers.

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X.6 Master Registers

The Office must maintain the following registers (paper + digital):

1. Case Register

   • Case ID, short title, type, open date, close date, status, ⭐ mark, location.

2. Relic Register

   • Relic ID, description (tooth/hair/bone etc.), donor, date received, current location, linked Case IDs.

3. Correspondence Register

   • Date, incoming/outgoing, from/to, subject, linked Case ID, mode (email/letter/phone).

4. Access Register

   • Date, person, case accessed, reason, documents viewed or copied, authorisation.

These registers help ensure transparency, accountability, and traceability.

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X.7 Structure of Each Case File

Each Case File must follow the same structure:

1. Section A – Case Cover Sheet

2. Section B – Case Summary and Significance

3. Section C – Buddhist Perspective

4. Section D – Peace Studies Perspective

5. Section E – Governance and SDG Perspective

6. Section F – Chronology of Events

7. Section G – Stakeholders and Roles

8. Section H – Document Index

9. Section I – Evidence Assessment

10. Section J – Actions and Decisions

11. Section K – Risk and Impact Assessment

12. Section L – Recommendations and Follow-Up

13. Section M – Closing and Archival Note

A standard fillable template for these sections is provided at the end of this chapter.

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X.8 Procedures

X.8.1 Opening a New Case

1. An event occurs (donation, conflict, complaint, MoU, testing request, etc.).

2. The Case Officer completes the Case Cover Sheet and proposes a Case ID.

3. The Siridantamahāpālaka or authorised officer approves the opening of the case and the Case ID.

4. The case is entered into the Case Register.

5. A physical folder and digital folder are created with the Case ID.

X.8.2 Updating a Case

Whenever new information, documents, or actions occur:

1. Add the event to Section F – Chronology of Events.

2. Insert documents and update Section H – Document Index.

3. If needed, update Sections C–E (Buddhist, Peace, Governance perspectives) and Section K (Risk and Impact).

X.8.3 Access and Confidentiality

1. All access to Confidential or Sacred-Restricted cases must be recorded in the Access Register.

2. Copies of documents may only be made with authorisation from the Siridantamahāpālaka or a delegated officer.

3. Staff and volunteers must not share sensitive information outside the Office without permission.

X.8.4 Closing and Archiving a Case

1. A case may be closed when no further action is needed, or when it becomes a stable long-term record.

2. Section M – Closing and Archival Note must be completed.

3. The case status in the Case Register is updated to “Closed” or “Archived”.

4. Closed cases are preserved in secure storage and backed up digitally.

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X.9 Annual Review

Once per year, the Office will:

• Review all open and ongoing cases for follow-up.

• Check that documents are complete and properly stored.

• Identify policy lessons and feed them into governance and training materials.

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CASE FILE TEMPLATE (FILLABLE – WORD STYLE)

You can paste this into Word, keep the headings, and fill in the spaces or convert to form fields.

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SECTION A – CASE COVER SHEET

Case ID: _______________________________

Short Case Title:

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Case Type:
☐ D – Doctrinal / Visionary / Vocation
☐ I – Institutional / Museum / MoU
☐ P – Pastoral / Everyday Devotional Practice
☐ S – Science / Testing / Misinformation
☐ C – Conflict / Complaint / Investigation
☐ G – Governance / Policy / Normative Model

⭐ Core Case: ☐ Yes ☐ No

Date Opened: ____ / ____ / ______

Opened By (Name & Role):

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Current Status:
☐ Open ☐ Ongoing ☐ Closed ☐ Archived

Security Level:
☐ Public ☐ Internal ☐ Confidential ☐ Sacred-Restricted

Physical Location (Cabinet / Box / Folder):

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Digital Location (Drive / Folder Path):

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SECTION B – CASE SUMMARY AND SIGNIFICANCE

B.1 Background (what happened, where, when):

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B.2 Main Issues (doctrinal / institutional / conflict / etc.):

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B.3 Significance for Relics, Peace, and Governance/SDGs:

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B.4 Related Cases (IDs):

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SECTION C – BUDDHIST PERSPECTIVE

C.1 Relevant Concepts / Terms (e.g. dhātu, sīla, mettā, karuṇā, sammā-vācā):

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C.2 Relevant Teachings or Stories (Vinaya, suttas, Jātakas, tradition):

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C.3 Ethical Evaluation (values upheld / violated):

• Values upheld: _______________________________________________________

• Values violated: ______________________________________________________

C.4 Lessons for Monks / Lay Custodians:

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SECTION D – PEACE STUDIES PERSPECTIVE

D.1 Type of Peace / Violence:

☐ Positive peace ☐ Negative peace
☐ Direct violence ☐ Structural violence ☐ Cultural violence

D.2 Short Conflict / Context Analysis:

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D.3 Main Actors and Relationships:

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D.4 Peace Opportunities (mediation, apology, rituals, reforms):

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SECTION E – GOVERNANCE AND SDG PERSPECTIVE

E.1 Governance Issues (transparency, accountability, participation, rule of law, anti-corruption):

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E.2 SDG Links (tick relevant):

☐ SDG 11 – Cultural and natural heritage
☐ SDG 16 – Peace, justice, strong institutions
☐ SDG 17 – Partnerships for the goals
Other SDGs (if any): _________________________________________________

E.3 Institutional Performance (strengths and weaknesses):

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SECTION F – CHRONOLOGY OF EVENTS

(Add rows as needed)

Date	Event Description	Source / Evidence	Notes
____ / ____ / ______	________________________________	________________________________	________________________________
____ / ____ / ______	________________________________	________________________________	________________________________
____ / ____ / ______	________________________________	________________________________	________________________________

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SECTION G – STAKEHOLDERS AND ROLES

(Add rows as needed)

Name / Code	Role in Case	Relationship to Relics / Case	Contact / Notes
___________	___________	______________________________	________________
___________	___________	______________________________	________________
___________	___________	______________________________	________________

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SECTION H – DOCUMENT INDEX

(Add rows as needed)

Doc ID	Date	Type (letter, email, screenshot, etc.)	From → To	Description	Pages	File Name
______	____ / ____ / ______	__________________	__________	____________	___	__________
______	____ / ____ / ______	__________________	__________	____________	___	__________

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SECTION I – EVIDENCE ASSESSMENT

I.1 Authenticity of Key Documents:

• Authentic / confirmed: ________________________________________________

• Doubtful: ____________________________________________________________

• Forged / false: ______________________________________________________

I.2 Methods of Verification:

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SECTION J – ACTIONS AND DECISIONS

J.1 Actions Taken by the Office / Society:

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J.2 Committee Decisions / Resolutions (reference minutes if available):

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SECTION K – RISK AND IMPACT ASSESSMENT

K.1 Heritage Risk (relic damage, loss, misuse):

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K.2 Human Impact (trauma, stress, community trust):

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K.3 Institutional Impact (reputation, legal exposure):

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SECTION L – RECOMMENDATIONS AND FOLLOW-UP

L.1 Immediate Actions (0–6 months):

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L.2 Medium-Term Actions (6–24 months):

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L.3 Long-Term / Policy Lessons:

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Responsible Person(s): ____________________________________________

Target Dates: _____________________________________________________

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SECTION M – CLOSING AND ARCHIVAL NOTE

M.1 Date of Case Closure / Archival: ____ / ____ / ______

M.2 Closed / Archived By (Name & Role):

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M.3 Access Restrictions After Closure:

☐ Open for research
☐ Restricted to Office staff
☐ Access only with written permission
☐ Sealed until (year): __________

M.4 Cross-References to Other Cases:

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M.5 Additional Archival Notes:

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