5 FAM 440
Records Maintenance and Use
(CT:IM-313; 03-11-2024)
(Office of Origin: A/GIS/IPS)
5 FAM 441 ELECTRONIC RECORDS MANAGEMENT
(CT:IM-288; 08-23-2022)
a. Records maintenance is any action involving the storage, retrieval and handling of records kept by Department personnel or the office responsible for the information to conduct Department business as well as those offices responsible for managing Department information systems.
b. Records disposition schedules should be used to establish internal policies and procedures to:
(1) Implement standardized naming conventions;
(2) Establish and organize file structures;
(3) Protect access to records; and
(4) Segregate temporary records from permanent records.
c. Records must be stored, organized, and maintained on approved Department systems and platforms throughout the records lifecycle to ensure:
(1) Records are available when needed, where needed, and in a usable format to conduct Department business;
(2) Continuous accountability of records;
(3) The integrity of the records remains intact;
(4) Records are protected and safeguarded from unauthorized access and dissemination; and
(5) Disposition of records can be carried out pursuant to the appropriate records disposition schedule.
d. Department personnel must have a legitimate business need to access records sought in connection with performing official U.S. Government duties:
(1) No one is entitled to receive or have access to information based on their official position or by holding a security clearance; and/or
(2) Access to specified records should only be granted to authorized Department personnel with specified “need to know” and/or role-based privileges;
e. Department personnel must adhere to Department policy requirements to access, use and disseminate Department information:
(1) National security and sensitive information that is owned by, originated by, produced by or for, or under the control of Foreign Affairs Agencies, at any and all Department-controlled locations regardless of physical form must be protected pursuant to 12 FAM;
(2) Classification, declassification, and marking of information classified under E.O. 13526 must be protected pursuant to 5 FAM 480; and
(3) Access to and use of Department information internally and externally must be protected pursuant to 5 FAM 470.
5 FAM 442 TAGS and Terms
(CT:IM-288; 08-23-2022)
a. Traffic Analysis by Geography and Subject (TAGS) and Terms is an identification system used primarily to organize and manage communications disseminated throughout the Department and posts. TAGS and Terms, however, may also be used to organize and store records.
b. TAGS and Terms work together to provide an easy to use, subject-oriented means to store and later find information.
c. TAGS identify subject content, specific world locations, and programs.
d. Terms are used to further clarify and aid in identifying and retrieving the information later. Some Terms are listed in the TERMDEX in the TAGS/Terms Handbook. New Terms may be added as needed by A/GIS/IPS to meet office or post needs.
f. A/GIS/IPS approves new TAGS or redefines old TAGS, as appropriate. To create new Subject, Program, or Organizational TAGS, the requesting office must use the “New TAGS” ALDAC template on the Records Management Website (link) and obtain all required clearances. A/GIS/IPS cannot create the new TAGS without all required clearances.
e. For questions about creating, editing, or retiring TAGS, contact Records@state.gov.
5 FAM 443 DIGITAL RECORDS
(CT:IM-313; 03-11-2024)
a. Digitization is the process of converting hardcopy or analog records into a digital format. Digital imaging offers an efficient and effective means of managing records and allows for quick retrieval, sharing of information, and lower storage costs.
b. Before starting a digitization project, determine the Records Disposition Schedules that cover the records to be scanned. The schedules are available on the Records Management Knowledge Portal (available to those with access to OpenNet).
c. Investigate possible legal requirements before digitizing the records, including accessibility, data integrity and privacy protections. In some circumstances, paper copies must be maintained because of a legal need to have access to the original or “wet signature” copy of a record (some foreign governments have this requirement).
d. For additional guidance/information, contact the Records and Archives Management Division (A/GIS/IPS/RA) by email at records@state.gov.
5 FAM 443.1 Temporary Records
(CT:IM-313; 03-11-2024)
a. Bureaus and posts consider certain factors that may make it impractical from either a financial or operational standpoint to digitize records:
(1) Depending on the final disposition requirements, it may not be worthwhile to digitize records that are near the end of their retention; and
(2) Records that are rarely or never accessed may be more cost-effective to continue storing and managing in hardcopy or analog until disposition.
b. Temporary records must comply with the following digitization standards:
(1) All information contained in the original source records, including all the pages or other sources (such as envelopes, cards, or sticky notes) must be captured;
(2) The digitized version must be sufficient to serve the same purposes as the original source records, including the ability to attest to transactions and activities;
(3) The digitized version must be protected against unauthorized deletions, additions, or alterations;
(4) The information must be retrievable to conduct Department business and in response to Freedom of Information Act (FOIA) and Privacy Act (PA) requests, for the records' entire retention period, regardless of where the digitized images are stored; and
(5) The digitized version must be verified for 100% accuracy and completeness and to ensure the quality is suitable to replace original source records. Document the validation process using a validation checklist.
(a) The temporary paper or analog records may be disposed of according to GRS 4.5, item 010 after the records have been verified; and
(b) The digitized versions must be retained and disposed of according to the applicable approved records disposition schedule.
5 FAM 443.2 Permanent Records
(CT:IM-313; 03-11-2024)
a. The National Archives and Records Administration (NARA) has established standards in Subpart E of 36 CFR 1236 for digitizing permanent paper records and photographic prints. The standards cover most paper-based documents, regardless of size, such as modern textual documents, maps, posters, manuscripts, graphic arts prints (for example, lithographs or engravings), drawings, bound volumes, and photographic prints.
b. The standards do not cover photographic negatives, transparencies, aerial film, roll film, micrographic and radiographic materials, motion picture film, video, and audio tapes. Contact (A/GIS/IPS/RA) by email at records@state.gov for guidance on digitizing out-of-scope media types.
c. The following standards and procedures must be followed when digitizing permanent paper records and photographic prints:
(1) Digitization documentation must be retained that includes:
(a) A project plan that identifies key details about the digitization process;
(b) The applicable records disposition schedule(s);
(c) Any related finding aids, indexes, inventories, logs, registers, or metadata schemas; and
(d) A Quality Management (QM) Plan to ensure the digitization project meets the necessary quality assurance objectives and quality control inspection procedures.
(2) QM must be performed during the digitization process to ensure that the images produced are of the highest quality and the resulting files meet the project specifications. The QM must include:
(a) Quality Assurance (QA) to ensure that the equipment meets the image quality performance parameters specified in the NARA regulations;
(b) Quality Control (QC) inspection and monitoring to ensure the images meet the digitization image quality parameters specified in the regulations;
(c) QC testing and analysis to identify malfunctioning or improperly configured digitization equipment, improper software application settings, incorrect metadata capture, or human error, and to take corrective actions;
(d) QC inspections to ensure 100% of the image files can open and be displayed, are encoded with a compression type and in an acceptable file format, and have the resolution, color mode, bit depth, and color profile specified in the regulations; and
(e) Corrective measures must be performed if inspection reveals errors. The examined records must meet a 100% success rate for the sample set to verify that they meet the metadata and records completeness requirements.
(3) Select from the file format for paper records and photographic print records that meet the required standards for preservation and long-term access outlined in 36 CFR 1236.48 File format requirements.
(4) Follow the minimum requirements when digitizing permanent paper and photographic print records:
(a) The scanning equipment and imaging methods must be appropriate for the media type to ensure that all the information is captured and without damaging the source records;
(b) Modern textual paper record (for example, typeset, typed, laser-printed) must be digitized at a minimum resolution of 300 pixels per inch (ppi) and each digital image must be sized to match the dimensions of the original paper document;
(c) Photographic prints and paper records that have fine details must be digitized at a minimum of 400 ppi; and
(d) Both paper records and photographic prints must be digitized in an acceptable RGB color mode if records contain color or other characteristics that are necessary to interpret the information of the source record.
(5) Capture metadata elements as follows:
(a) Capture Relationships Between Source Records. When using metadata to capture relationships between source records, individuals must use the designated “Relation” metadata elements outlined in the metadata requirements.
(b) Capture Access and Use Restrictions Metadata. Any access or use restrictions that apply to source records must be captured and associated with the digital records.
(c) Use Different Metadata Labels. Individuals have the flexibility to use different metadata labels from the ones included in the regulation. However, while the labels themselves may differ, the metadata that is captured must align with NARA’s labels.
(d) Determine The Level of Descriptive Metadata. The source of descriptive metadata depends on existing recordkeeping practices, information from the project, record series, file unit, or item level used. If individual components of a record lack unique descriptions, the series or file unit-level descriptions should be applied to all image files within that grouping.
(6) Validation must be conducted using a validation checklist at the end of the digitization project to verify that digital records were created for all the source records and can be used for the same purposes as the originals. The validation must be conducted by staff who were not involved in the quality control inspections conducted during the digitization process; and
(7) Once validated, the digital copies inherit the disposition of the source records and will be transferred to NARA according to the records disposition schedule. The source records become temporary records that can be disposed of according to GRS 4.5, item 010.
5 FAM 444 System Requirements for Storing Electronic Records
(CT:IM-288; 08-23-2022)
Systems that store and maintain Department records must ensure the records in the systems can provide adequate and proper documentation of agency business for as long as the information is needed and provide the capability for the disposition of the records, including the requirements for transferring permanent records to NARA. Systems must:
(1) Support records management, Freedom of Information Act (FOIA), and litigation requirements, including the capability to identify, retrieve, and preserve records, attachments, and associated metadata;
(2) Adhere to the appropriate retention policies;
(3) Preserve electronic records in a manner that ensures authenticity, reliability, integrity, usability, content preservation, and context;
(4) Maintain records in a sustainable format that is retrievable and usable throughout the lifecycle and as technology evolves;
(5) Ensures records management controls are established for the generation, collection, processing, dissemination, and disposal of records;
(6) Provide for backup and recovery; and
(7) Allow for the transfer of permanent records to A/GIS/IPS/RA.
5 FAM 445 Essential Records Program
(CT:IM-288; 08-23-2022)
a. Essential records (previously known as vital records) are those records each bureau needs to meet operational responsibilities under national security emergencies or other emergency conditions (emergency operating records) or to protect the legal and financial rights of the government and those affected by government activities (rights and interests records).
b. The Department’s Continuity Framework and associated program annexes establish the overall guidance for the Department’s Continuity Plans and Programs, identify key stakeholders within the Department who support the implementation of the domestic emergency management program, and formalize the implementation process of continuity programs to ensure the Department can conduct and reconstitute its mission-essential functions under all conditions.
c. The chief of A/GIS/IPS/RA serves as the Essential Records Manager for the Department of State and the Department’s Emergency Relocations Group to:
(1) Provide overall guidance and oversight for the protection of essential records; and
(2) Coordinate the recovery of damaged essential records across the Department.
d. The Office of Emergency Management is responsible for providing secure storage required for all essential records pursuant to the Department’s Continuity Framework.
e. Each Department bureau and/or office has overall responsibility for updating their essential records and databases, including those in their respective folders pursuant to Department’s Continuity Framework.
5 FAM 446 Through 449 UNASSIGNED