UNCLASSIFIED (U)

5 FAH-2 H-440

Captions and handling INstructions for the Information Management Specialist (ims)

(CT:TEL-70;   10-12-2018)
(Office of Origin:  IRM/BMP/GRP/GP)

5 FAH-2 H-441  CAPTIONS USED ON CABLES

(CT:TEL-65;   02-27-2018)
(Uniform State/USAID)

a. Captions and channel designators are used to meet specific internal dissemination and sorting requirements at Main State Messaging Center (MSMC) and at posts abroad.   This section describes the captions/channel designators used in SMART and provides specific guidance to archive message drafters, releasers, and recipients on proper caption usage and handling procedures.

b. Using a consistent taxonomy as outlined in this chapter allows for access to distributed information in accordance with 5 FAM 630.

5 FAH-2 H-442  WHAT ARE RESTRICTIVE CAPTIONS/CHANNELS WITH SPECIAL HANDLING?

(CT:TEL-39;   09-10-2013)
(Uniform State/USAID)

a. SMART makes no formal distinction between “restrictive” and “highly restrictive” when captions are discussed, as all captions are considered restrictive to varying degrees.

b. INFORM ALL STATE EMPLOYEES is the only caption considered nonrestrictive.

c.  A message can have only one channel caption.  However, multiple non-channel captions can be assigned to the same message if no other restrictions are in place (for example, no other captions can be added to messages with AGRÉMENT CHANNEL or DIRGEN CHANNEL).

d. IPC or system administrators must enforce limitations strictly by assigning specific individuals to MED CHANNEL, TM CHANNEL, CODEL and FOR xxx ONLY caption roles, or by assigning limited individuals to AMB and DCM roles; these users receive DIRGEN and AGRÉMENT traffic.

5 FAH-2 H-443  When and How to Use Captions

(CT:TEL-70;   10-12-2018)
(Uniform State/USAID)

The table below contains caption usage, drafting, and receiving/handling guidance for cable drafters, clearers, approvers, releasers, and recipients.

Caption / Definition / Owner / Network

Drafting Guidance

Receiving Guidance Dissemination and/or 
Handling Instructions

ADM AID

 

For messages regarding administrative issues for U.S. Agency for International Development (USAID) employees.

 

Owner:  USAID

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

AGRÉMENT CHANNEL

 

For communications between the Ambassador and the Secretary.

 

Messages with this caption deal with AGRÉMENT requests for U.S. Ambassadors and Ministers, and issues relating to the appointment, resignation, or transfer of a U.S. Chief of Mission or Chargé d’Affaires.

 

Owner:  HR

 

Network:  ClassNet

Lateral use is permitted if SECSTATE is an addressee.

Do not assign NODIS or EXDIS captions to AGRÉMENT CHANNEL messages as AGRÉMENT CHANNEL itself ensures the most restricted dissemination.

When choosing AGRÉMENT CHANNEL, the system automatically selects the Privacy/PII check box.

You must classify or administratively control AGRÉMENT channel messages.

·        AGRÉMENT CHANNEL messages can be distributed electronically only to the Chief of Mission.  All other copies must be hand-delivered.

AIDAC

For messages drafted by U.S. Agency for International Development (USAID) employees, at field posts, or in the Department.

 

Owner:  USAID

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

AID/HR CHANNEL

 

For messages between U.S. Agency for International Development (USAID) Human Resources and Missions.

 

Owner:  USAID

 

Network:  OpenNet/ClassNet

Lateral use is permitted with SECSTATE included as an addressee.

Should be used for messages involving USAID personnel or USAID Foreign Service Officer personnel matters relating to arrival/departure notices, assignment, performance evaluations, employment, compensation, personnel benefits, separation/retirement, grievances, position descriptions, medical, employee labor relations, and travel messages.

Continue to use ADM AID caption for non-HR related administrative issues pertaining to USAID.

AID/OIG CHANNEL

 

For messages between the U.S. Agency for International Development (USAID) Inspector General (IG) and the regional inspectors general and their staff in the field.

 

Owner:  USAID

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

CODEL

 

For messages concerning Congressional Delegation visits to field posts.

 

Owner:  H

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

The Passing Instructions line should have the name of the congressional committee or group chairman, i.e., CODEL BAUCUS.

CODEL cables should be vetted by a Cleared American at post.

·        Post decision to distribute CODEL cables to LES is subject to the Cleared American review.

CONSULAR FRAUD – PROTECTED

 

For messages dealing with sensitive consular fraud issues, such as when post wishes to provide names or other privacy-protected information for applicants, petitioners, etc., or details of an ongoing investigation.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

General fraud-related reporting does not require the use of this caption.

Overseas

·        Retrieval of cables and record email messages bearing this caption will be restricted to provisioned direct-hire Americans and LES.

·        Provisioned LES will have access to cables to or from their posts only, while provisioned direct-hire Americans will have access to all such captioned records.

 

Domestic

·        Retrieval of cables and record email messages bearing this caption will be restricted to provisioned direct-hire and contract users in CA/FPP, CA/PPT, CA/VO, CA/OCS, and DS.

CONSULAR MALFEASANCE – PROTECTED

 

For case-specific messages dealing with consular malfeasance.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

·        Due to the extremely sensitive nature of these messages, only certain employees of CA/FPP/CID will be provisioned for access to this caption.

·        In effect, this will be a one-way channel to the Consular Integrity Division.

DEAX

 

For Drug Enforcement Agency (DEA) messages.

 

Owner:  DEA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

DIRGEN CHANNEL

 

For communications between the Director General of the Foreign Service and Director of Human Resources (DGHR) and the Chief of Mission, regarding sensitive human resource issues other than AGRÉMENT and medical matters.

 

Owner:  HR

 

Network:  ClassNet

Lateral use is not permitted.

DIRGEN CHANNEL cannot be used with any other caption.

When choosing DIRGEN CHANNEL, the system automatically selects the Privacy/PII check box.

·        DIRGEN CHANNEL messages may be seen only by the Chief of Mission/Principle Officers or named individual(s) and, if not expressly precluded, by anyone the addressee considers to have a clear-cut “need to know.”

·        The message may not be reproduced, given additional distribution, or discussed with nonrecipients without the prior approval of the originator.

·        DIRGEN CHANNEL messages cannot be forwarded electronically.

DISSENT CHANNEL

 

For messages between the Department and any person at a post abroad submitting dissenting views on policy.

 

Owner:  SP

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

SECSTATE must be the only Action addressee.

The first paragraph should identify the drafter.

2 FAM 070 provides policy guidance on the use and restrictions on the DISSENT CHANNEL.

It is highly recommended that dissenting opinions, while not necessarily classified, be drafted and sent on ClassNet, though the messages can be sent on OpenNet.

·        The Director of S/P has the responsibility for handling any response.

·        The Director of S/P determines further distribution, in consultation with the Secretary, as appropriate, and with regard to the sensitivity of the message and the desires of the drafter.

·        DISSENT CHANNEL messages cannot be forwarded electronically.

DOCKLAMP CHANNEL

 

For messages between the Defense Intelligence Agency and Defense Attachés.

 

Owner:  DIA

 

Network:  ClassNet

Lateral use is permitted.

Purge the DOCKLAMP message from the Sent Items folder (press SHIFT + DELETE) immediately upon releasing the message.

Drafts of DOCKLAMP messages should be saved in the Drafts folder for the shortest time possible.  To delete a draft completely, press SHIFT + DELETE to delete the message without storing it in the Deleted Items folder.

·        Dissemination of DOCKLAMP messages should be limited to the Defense Attaché.

·        The Defense Attaché, if required, will determine additional distribution.

·        DOCKLAMP files will be maintained only by the Defense Attaché Office (DAO).

·        DOCKLAMP messages may be seen only by the addressee and, if not expressly precluded, by anyone the addressee considers to have a clear-cut “need to know.”  The message may not be reproduced, given additional distribution, or discussed with nonrecipients without the prior approval of the originator.

·        All paper copies must be returned to the DAO.

DS CHANNEL

 

For messages to and from the Assistant Secretary and/or Deputy Assistant Secretaries of Diplomatic Security, other authorized DS personnel, and the responsible DS officer concerning criminal and special investigations involving:

U.S. citizens or foreign nationals, who are not U.S. Government employees

Special protective equipment

Other sensitive subjects which the drafter deems should be restricted to DS personnel at posts or within the Department

 

Owner:  DS

 

Network:  ClassNet

Lateral use is permitted.

ASEC must be the only TAGS used on this traffic (see 12 FAM 422.4).

·        The Executive Director for Diplomatic Security (DS/EX) authorizes access to DS CHANNEL message traffic at the headquarters level.

·        Only hand-delivered hard copies can be provided to users outside Diplomatic Security.

·        Messages with the DS CHANNEL caption cannot traverse enclaves from ClassNet to OpenNet.

Overseas

·        Limit field dissemination of DS CHANNEL messages to the regional security or post security officer.

Domestic

·        Limit dissemination to offices within DS.

DSX CHANNEL

For messages to and from the Assistant Secretary and/or Deputy Assistant Secretaries of Diplomatic Security, other authorized DS personnel, and the responsible DS officer concerning criminal and special investigations involving:

·         U.S. citizens, U.S. Government employees, or DS employees

·         Counterintelligence investigations, allegations or concerns

·         Investigations concerning domestic abuse, child abuse, sexual assaults, death, or other violent crimes and misconduct

·         Confidential sources

·         Undercover operations

·         Other sensitive subjects which the drafter deems should be highly restricted

 

Owner:  DS

 

Network:  ClassNet

Lateral use is permitted.

ASEC must be the only TAGS used on this traffic (see 12 FAM 422.4).

·        The Domestic Operations Directorate
(DS/DO) authorizes access to DSX
CHANNEL message traffic at the
headquarters level

·        Only hand-delivered hard copies can
be provided to users outside Diplomatic Security

·        Messages with the DSX CHANNEL
caption cannot traverse enclaves
from ClassNet to OpenNet

Overseas

·        Limit dissemination of DSX CHANNEL
messages to the regional security
officer, one special agent backup
(normally the DRSO or senior ARSO),
and the ARSO-I.  Access is limited
to DS special agents

Domestic

·        Access and distribution are limited
to supervisory personnel in investigative
offices and the Deputy Assistant
Secretaries for International Programs
(IP), High Threat Programs (HTP),
and Threat Investigations and Analysis
(TIA), and limited non-special agents,
as required

DTS CHANNEL

 

For messages between IRM, the Area Telecommunications Office (ATO) Headquarters, Directors of Regional Information Management Centers (RIMC), IMOs, IPOs, and ITOs concerning technical security and operational matters that affect joint operations within the Diplomatic Telecommunications Service (DTS) Program Office.

 

Owner:  DTSPO

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

EEO CHANNEL

 

For messages between the Office of Civil Rights and officially designated EEO counselors at posts abroad regarding discrimination complaints.

 

Owner:  EEO

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

·        To preserve the privileged nature of this information, dissemination of EEO CHANNEL messages should be strictly limited to S/OCR in the Department and EEO counselors in the field.

·        Communications intended for individuals other than the officially designated EEO counselor in the field should bear the attention indicator “FOR (NAME)” one blank line following the EEO CHANNEL caption.

EVT

 

For messages between HR/ER and Post Administration on matters relating to emergency visitation travel only, involving employees paid under a FS or GS schedule (includes Foreign Service, Civil Service, U.S. Citizen eligible family members, and appointment eligible family members).

 

Owner:  HR/ER

 

Network:  OpenNet/ClassNet

Lateral use is permitted with SECSTATE as an information addressee.

Do not use with CHANNEL captions (e.g., MED CHANNEL or HR CHANNEL).

Overseas EVT request templates are available to download from HR/ER at \\10.47.68.53\stateshares\hrpublic$\EVT Request Templates.  Templates include new EVT caption, appropriate address, TAGS, and pass lines.

APER TAG is used for all categories of EVT.  AMED TAG is added to APER for medical EVT cables only.

Questions on EVT content or policy can be directed to emergencyvisitationtravel@state.gov.

·        Individuals at post with access to this caption will be able to forward copies of particular cables and/or record email to specific individuals without the caption access as needed on a case-by-case basis.

·        Only the originating posts and those posts/individuals originally addressed on a message will be able to retrieve the message in an archive search (subject to RBAC).

·        Dissemination and archive retrieval of archive messages with the EVT caption will be restricted to those provisioned direct-hire Americans and LE staff abroad, provisioned direct-hire and contract users in HR/ER, and regional bureau HR personnel.  Overseas, provisioned LE staff will have access to the cable to or from their posts only.

EXDIS

(EXCLUSIVE DISTRIBUTION ONLY)

 

For messages needing exclusive distribution to officers with an essential need to know.  Use this caption only for highly sensitive traffic to and between the White House, the Secretary, Deputy, or Under Secretaries of State and chiefs of mission.

 

Owner:  S/ES; DAO when used by the military as SPECAT

Network:  ClassNet

Lateral use is permitted if SECSTATE is an addressee.

SMART automatically applies NOFORN.

EXDIS messages are not releasable to foreign nationals and must be classified or administratively controlled with the NOFORN warning notice.

If the message is not between the Secretary and a Chief of Mission, the drafter must include in the Passing Instructions line the attention indicators “FOR [title or name of addressee],” “FROM [title or name of the addresser].”  The S/ES Senior Watch Officer will determine proper dissemination from passing instructions.

Whenever EXDIS is used on a message, SMART assigns SPECAT automatically.

Users must delete EXDIS messages from the Sent Items and Draft folders expeditiously using SHIFT + DELETE to bypass the Deleted Items folder.  Storage in mailboxes or .pst files is not authorized.

·        SMART assigns EXDIS automatically to all inbound SPECAT messages.

Domestic

·        EXDIS will be delivered electronically only to S.  S will then decide further dissemination within the Department.

Overseas

·        Users will not receive a comeback copy of EXDIS messages.

·        EXDIS messages are sent only to the SMARTND mailbox.

·        IPC personnel must print a single copy from this mailbox and disseminate appropriately during business hours only.

·        Users must return paper copies of EXDIS messages to the IPC for storage at the end of the normal business day to be stored in an approved locked container in accordance with 12 FAM 531; EXDIS messages must not be stored outside the IPC after close of business hours.

·        EXDIS messages may be seen only by the addressee and, if not expressly precluded, by anyone the addressee considers to have a clear-cut “need to know.”  The message may not be reproduced, given additional distribution, or discussed with nonrecipients without the prior approval of the originator.

·        IPC staff may print a copy for users on a limited basis and only at the request of senior management.

·        IPC staff must review storage of paper copies of EXDIS messages every 90 days to determine their continuing need for retention.  Paper copies of EXDIS messages must be destroyed when no longer needed.

·        Post Administrators can access and forward only those EXDIS messages that originate from their home post.  EXDIS messages cannot be forwarded to an individual; they will only be sent to the SMARTND mailbox.

·        IPC staff must empty the SMARTND mailbox after receiving, printing and storing any EXDIS-captioned messages that are sent to post.  It is understood it may be difficult to remove all electronic instances of an EXDIS message as posts are using FilesX to back up their Exchange servers.

FISA

 

For messages containing products of a Foreign Intelligence Surveillance Act investigation.

 

Owner:  DCI

 

Network:  ClassNet

Lateral use is not permitted.

For ONLY Captions

 

For SMART posts and MSMC as a way to limit dissemination of messages from Legacy with “For XXX ONLY” passing instructions.  SMART posts can use these captions on cables as well.

 

Owner:  IRM

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

·        MSMC will spill all legacy messages with passing instructions of “For XXX ONLY,” add one of the following captions that conform to the passing instructions, and then re-release the message to SMART posts:

·        FOR AMB ONLY

·        FOR DCM ONLY

·        FOR CG ONLY

·        FOR PO ONLY

·        FOR MGMT ONLY

·        FOR CHARGE ONLY

·        FOR IPC ONLY (MSMC adds this caption to messages that do not fall into the FOR ONLY captions listed above).  IPC is responsible for disseminating these messages to the named individual only, per the passing instructions.

GFS FSGS COMP CHANNEL

 

For messages between GFS locations and post administration on matters relating to compensation involving employees paid under a FS or GS schedule (includes Foreign Service, Civil Service, U.S. Citizen Eligible Family Members, and Appointment Eligible Family Members).

 

Owner:  Global Financial Service (GFS)

 

Network:  OpenNet/ClassNet

Lateral use is permitted if USOFFICE Global Financial Services is included as an information addressee.

Forms sent electronically that contain the information described in the caption definition should also carry this caption.

Caption matter includes, but is not limited to, the following examples: assignments and terminations (including INWS), transfers, training (containing PII data beyond name), compensation (time and attendance, differential, incentives, awards, allowances, allotments), employment (SF-50, SF-52, JF-62, JF-62A, Authority to Hire), life insurance, military service status, retirement, leave (all types – annual, medical, family, LWP, donations, etc.).

If the message meets the TM CHANNEL criteria, it should be captioned as TM CHANNEL.  HR CHANNEL and GFS FSGS COMP CHANNEL share some common criteria.  However, GFS FSGS COMP CHANNEL is limited to only matters dealing with compensation/payroll, while HR CHANNEL can encompass a wider range of employee HR matters.  If the message meets the criteria for both captions, the choice between the two should be based on what entity is expected to take action on the message.  If the message is for SECSTATE/HR primary action, it should carry the HR CHANNEL caption.  If it is for GFS action, it should carry the GFS FSGS COMP CHANNEL caption.  If joint action is required (HR and GFS) or other factors neither as the clear choice, default to HR CHANNEL.  Note, however, that HR CHANNEL is NOT addressee restrictive.

If the message meets more than one of the GFS caption criteria, select the caption based on the action office desired.  If the cable/record email is being sent to GFS Payroll for action, then the appropriate COMP CHANNEL should be used depending on the subject employee pay plan type.  If the cable/record email is being sent to accounting, disbursing, cashier monitors, or USDO then the GFS FIN CHANNEL should be used.

·        All GFS CHANNEL captions are addressee restrictive; only the originating post and those posts/individuals originally addressed on a message will be able to retrieve the message in an archive search.

·        Access to these captions at post should be severely restricted.  Only those individuals who need to see data of the indicated type on a regular basis as part of their work duties should be granted access to each caption.  Individuals at post with access to this caption will be able to forward copies of particular cables and/or record emails to specific individuals without the caption access as needed on a case-by-case basis.

GFS LCP COMP CHANNEL

 

For messages between GFS locations and post administration on matters relating to compensation involving employees paid under a Local Compensation Plan (locally employed staff, including FSNs as well as other employees paid in the local currency of the host nation).

 

Owner:  GFS

 

Network:  OpenNet/ClassNet

Lateral use is permitted if USOFFICE Global Financial Services is included as an information addressee.

Forms sent electronically that contain the information described in the caption definition should also carry this caption.

Caption matter includes, but is not limited to, the following examples:  training (containing PII data beyond name), compensation (time and attendance, differential incentives, awards, allowances, allotments, severance, length of service, salary advances), employment (SF-50, SF-52, JF-62, JF-62A, Authority to Hire, WGI), health benefits, life insurance, retirement, leave (all types – annual, medical, family, LWP, donations, etc.).

If the message meets more than one of the GFS caption criteria, select the caption based on the action office desired. If the cable/record email is being sent to GFS Payroll for action, then the appropriate COMP CHANNEL should be used depending on the subject employee pay plan type.  If the cable/record email is being sent to accounting, disbursing, cashier monitors, or USDO then the GFS FIN CHANNEL should be used.

All GFS CHANNEL captions are addressee restrictive; only the originating post and those posts/individuals originally addressed on a message will be able to retrieve the message in an archive search.

Access to these captions at post should be severely restricted.  Only those individuals who need to see data of the indicated type on a regular basis as part of their work duties should be granted access to each caption.  Individuals at post with access to this caption will be able to forward copies of particular cables and/or record emails to specific individuals without the caption access as needed on a case-by-case basis.

GFS FIN CHANNEL

 

For messages between GFS locations and post administration on matters relating to sensitive financial/fiscal information.  This includes information that can be used to transfer funds into or out of the Department of State, concern fiscal irregularities, or contain personal financial information about employees or entities doing business with the Department of State.

 

Owner:  GFS

 

Network:  OpenNet/ClassNet

Lateral use is permitted if USOFFICE Global Financial Services is included as an information addressee.

Caption matter includes, but is not limited to, the following examples:  bank account numbers and/or routing codes (SWIFT, ACH, Wire, etc.); post cashier irregularities (overages/underages); employee vouchers, travel advances, other personal financial documents; credit card numbers, returned checks (employee or vendor), emergency payments, funds transfers, allotments; cashier designation, revocation, advances, etc.; certifying officer authorization/revocations, etc.

If the message meets more than one of the GFS caption criteria, select the caption based on the action office desired.  If the cable/record email is being sent to GFS Payroll for action, then the appropriate COMP CHANNEL should be used depending on the subject employee pay plan type.  If the cable/record email is being sent to accounting, disbursing, cashier monitors, or USDO then the GFS FIN CHANNEL should be used.

·        All GFS CHANNEL captions are addressee restrictive; only the originating post and those posts/individuals originally addressed on a message will be able to retrieve the message in an archive search.

·        Access to these captions at post should be severely restricted.  Only those individuals who need to see data of the indicated type on a regular basis as part of their work duties should be granted access to each caption.  Individuals at post with access to this caption will be able to forward copies of particular cables and/or record emails to specific individuals without the caption access as needed on a case-by-case basis.

H PASS

 

For messages to members of Congress, including district offices.

 

Owner:  H

 

Network:  ClassNet

Lateral use is not permitted.

HR CHANNEL

 

For messages between the Office of the Director General of the Foreign Service and posts on matters relating to personnel administration involving U.S. citizen employees.

 

Owner:  HR

 

Network:  OpenNet/ClassNet

Lateral use is permitted if SECSTATE is an addressee.

These matters include, but are not limited to:  assignments, transfers, training, performance evaluations, compensation, employment, health benefits, life insurance, employee-management relations, title and rank, position descriptions, military service status, campaigns, and retirement.

The system will automatically select the Privacy/PII check box for HR CHANNEL messages.

HR CHANNEL cannot be used for personnel-related issues covered under other channel captions, i.e., AGRÉMENT requests and certain other matters relating to Chiefs of Mission and Chargé d’Affaires, sensitive personnel matters requiring the attention of the Director General or Deputy Assistant Secretary for Human Resources, medical matters, grievances between individual employees and the Foreign Service Grievance Board, or travel messages.

Domestic

·        HR CHANNEL is controlled and distributed to HR only.

IM CHANNEL

 

For messages between the Deputy Chief Information Officer for Operations and/or Deputy Chief Information Officer for Foreign Operations and field operations at RIMCs, IPCs, and ISCs concerning technical communications operations not requiring dissemination outside IRM.

 

Owner:  IRM

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

IMCON

 

For messages containing controlled imagery.

 

Owner:  DCI

 

Network:  ClassNet

Lateral use is not permitted.

INFORM ALL STATE EMPLOYEES

 

For messages from, or approved by, senior Department management at the Under Secretary or higher level, intended to convey information to all Department of State employees, including FSN, TCN, LE staff, and EFM.

 

Owner:  M

 

Network:  OpenNet/ClassNet

Lateral use is not permitted in the field.

All messages with this caption must be unclassified.

MANIFEST CHANNEL

 

For messages from S/ES to Post Administration on matters relating to S travel only.

 

Owner:  S/ES

 

Network:  OpenNet

Lateral use is not permitted.

OVIP TAGS should be used for all MANIFEST CHANNEL messages.

·        MANIFEST CHANNEL caption is addressee-restrictive; only the originating bureau (S/ES) and originally-addressed posts/individuals will be able to retrieve the message from the archive.

·        Automated processing, dissemination, and archive retrieval of messages with this caption will be restricted to those provisioned direct-hire and locally employed staff abroad who require access to this PII material as part of their work duties.

·        Overseas, provisioned staff will have access to the messages to or from their posts only.

MED CHANNEL

 

For messages between the Director for Medical Services (MED) and the chief of mission, medical officer, nurse, or designee, containing protected health information regarding Department of State employees or their dependents or employees or dependents of other U.S. Government agencies under direct or participating agency support agreements.

 

Owner:  M

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

The system will select the Privacy/PII check box automatically on MED CHANNEL messages (protected health information should be safeguarded in accordance with both the Privacy Act and the Health Insurance Portability and Accountability Act of 1996 [HIPAA].  HIPAA regulations [see 5 CFR 160, 162, and 164] govern both access to protected health information [the “Privacy Rule”] and the means by which such information can be transmitted electronically [the “Security Rule”]).

Do not use MED CHANNEL messages for reports of death, requests for medical supplies, or requests for approval of emergency visitation travel.

·        MED CHANNEL messages at missions abroad are to be disseminated electronically on a minimum need-to-know basis and will be limited to the medical officer, the medical officer’s designee or the Chief of Mission’s designee.

MGT CHANNEL

 

For messages between the Under Secretary for Management and posts.

 

Owner:  M

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

·        Post dissemination only to those persons or offices specified with “FOR (NAME OF PERSON OR OFFICE) ONLY” passing instructions.

NAROP CHANNEL

 

For messages to and from the Drug Enforcement Administration (DEA), DEA representatives abroad, Department of Justice, chiefs of mission, the Secretary of State, and the Assistant Secretary for the Bureau of International Narcotics and Law Enforcement Affairs regarding narcotics issues.

 

Owner:  INL

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

NAROP CHANNEL can be addressed only to SECSTATE and DEA.

NAROP CHANNEL messages must either be classified or, if unclassified, must include the SENSITIVE caption.

Only the Chief of Mission or designee can approve a NAROP message for transmission.

·        IPC should disseminate NAROP messages only to the Chief of Mission and the DEA agent-in-charge.

·        The Assistant Secretary for the Bureau of International Narcotics and Law Enforcement Affairs will determine dissemination of NAROP messages in Washington on a strict need-to-know basis.

NODIS

(NO DISTRIBUTION)

 

For messages of the highest sensitivity between the President, the Secretary of State, and Chief of Mission.  You must not distribute NODIS messages to anyone other than the intended recipient without prior approval from the Executive Secretariat (S/ES-O).

 

Owner:  S/ES

 

Network:  ClassNet

Lateral use is not permitted unless S/ES explicitly allows lateral for the subcategory used.  Send any requests to forward NODIS messages to other posts to SECSTATE with REPEAT TO (post name) passing instructions.

SMART automatically applies NOFORN to NODIS messages.

Whenever NODIS is used on a message, SMART assigns SPECAT EXCLUSIVE automatically.

Send NODIS messages from post only to SECSTATE.

NODIS subcategories can be typed into the NODIS Caption Free Form Word field which appears upon selecting the caption.  However, a subcategory is not required.  The system will reject messages where a subcategory does not exist or is misspelled.  Releasers and IPC staff will receive notification of this rejection.

Users must delete NODIS messages from the Sent Items and Draft folders expeditiously using SHIFT + DELETE to bypass the Deleted Items folder.  Storage in mailboxes or .pst files is not authorized.

Unauthorized release of NODIS messages without S/ES approval domestically or Chief of Mission overseas is subject to disciplinary action.

Purge the NODIS message from the Sent Items folder (press SHIFT + DELETE) immediately upon message release.

·        NODIS messages may be seen only by the addressee and, if not expressly precluded, by anyone the addressee considers to have a clear-cut “need to know.”  The message may not be reproduced, given additional distribution, or discussed with nonrecipients without the prior approval of the originator.

·        Domestic

·        NODIS will be delivered electronically only to S.  S will then decide further dissemination within the Department.

·        Only IRM/OPS/MSO/MSMC and the Operations Center Senior Watch Officer can handle an incoming NODIS message.  The Executive Secretariat controls NODIS message dissemination through the Senior Watch Officer.  NODIS messages must be stored in an approved, locked container, in accordance with 12 FAM 531.

Overseas

·        Users will not receive a comeback copy of NODIS messages; these messages are sent only to the SMARTND mailbox.

·        NODIS messages will be sent only to the No Dissemination (postName-SMARTND) mailbox.  IPC personnel must print a single copy from this mailbox and disseminate appropriately during business hours only.

·        IPC staff must empty the SMARTND mailbox after receiving, printing and storing any NODIS captioned messages that are sent to post.  It is understood it may be difficult to remove all electronic instances of a NODIS message as posts are using FilesX to back up their Exchange servers.

·        IPC staff may retrieve and print copies for a user on a limited basis and only at the request of senior management.

·        Users must return paper copies of NODIS messages to the IPC for storage at the end of the normal business day to be stored in an approved locked container in accordance with 12 FAM 531; NODIS messages must not be stored outside the IPC after close of business hours.

·        IPC staff must review storage of paper copies of NODIS messages every 90 days to determine their continuing need for retention.  Paper copies of NODIS messages must be destroyed when no longer needed.

·        Post Administrators can access and forward only those NODIS messages that originate from their home post.  NODIS messages cannot be forwarded to an individual; they will only be sent to the SMARTND mailbox.

OBIT

 

For messages pertaining to the death of a U.S. Government employee or dependent.

 

Owner:  M

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

OBIT must be followed by a diagonal (/) and must include the agency name of the deceased employee or dependent in the OBIT Caption Free Form Word field.  Example:  OBIT/USAID.

OFFICIAL INFORMAL

 

For messages expressing personal opinions or preliminary information on policy.

 

Owner:  M

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

When addressed to the Department, include passing instructions for any non-SMART action office.

Domestic

·        OFFICAL INFORMAL will be delivered electronically to whom it is designated for as ACTION with an INFO copy disseminated to S.  If the message does not designate an ACTION addressee, the message will be disseminated to the geographical bureau with an INFO copy to S.

OIG CHANNEL

 

(State and U.S. Agency for Global Media only) for messages between the Office of Inspector General and OIG employees and/or other Department of State or USAGM personnel in the field.

 

Owner:  OIG

 

Network:  OpenNet/ClassNet

Lateral use is permitted between OIG employees.

OIG CHANNEL can also be used for messages between the OIG and OIG employees in the field and chiefs of mission, regional and post security officers, and other officials when appropriate to carry out the mission of the OIG.

Employees who wish to report fraud, waste, abuse, or mismanagement to the OIG are authorized to use OIG CHANNEL.

ORCON

 

For information that should not be further disseminated by recipient agencies, including to State, local, tribal and private-sector entities, without prior Department approval.

 

Owner: DCI

 

Network: ClassNet

Lateral use is not permitted.

Originator controlled.

Do not use in conjunction with SIPDIS.

·        ORCON messages may not be forwarded electronically.

OVERSEAS CITIZENS SERVICES – PROTECTED

 

For messages that include sensitive information regarding specific individual ACS cases, such as arrests, deaths, welfare/whereabouts, or children’s issues.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

General ACS-related reporting, such as a write-up of voting outreach, or a “lessons learned” cable, does not require the use of this caption.

Overseas

·        Retrieval of cables and record emails bearing this caption will be restricted to provisioned direct-hire Americans and LES.

·        Provisioned LES will have access to cables to or from their posts only; while provisioned direct-hire Americans will have access to all such captioned records.

Domestic

·        Retrieval of cables and record emails bearing this caption will be restricted to provisioned direct-hire and contract users in CA/OCS, CA/FPP, CA/EX, CA/P, DS, L/CA, and regional bureau country-desk officers.

PASSPORTS – DOMESTIC – PROTECTED

 

For messages dealing with sensitive domestic passport cases or issues.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

General passport-related messages do not require the use of this caption.

Overseas

·        Retrieval of cables and record emails bearing this caption will be restricted to provisioned direct-hire Americans and LES.

·        Provisioned LES will have access to cables to or from their posts only; while provisioned direct-hire Americans will have access to all such captioned records.

Domestic

·        Retrieval of cables and record emails bearing this caption will be restricted to provisioned direct-hire and contract users in CA/PPT, CA/FPP, CA/P, DS, and L/CA.

PASSPORTS – VENDOR – PROTECTED

 

Used for messages dealing with domestic passport vendor issues related to CA/PPT’s contractors and vendors.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is not permitted.

General passport-related messages do not require the use of this caption.

Domestic

·        Retrieval of cables and record emails bearing this caption will be restricted to provisioned direct-hire users in CA/PPT, including CA/PPT/SPCA and Contracting Officer Representatives (CORs).

·        While primarily intended for CA/PPT use, in the event that a message with this caption may also be of interest to CA/C, CA/PPT will include CA/C on the message chain.

PRIVACY

 

For messages that contain information about employees or members of the public regarded as sensitive and personal by the Privacy Act of 1974 as amended.  Information considered sensitive and personal includes personnel, payroll, medical, passport, adoption, and other personal information about individuals, such as Social Security numbers and home addresses.

 

Owner:  A/GIS

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

This caption can be added to a cable or record email by checking the Privacy/PII check box in the SMART Client.

Dissemination of messages with this caption is not restricted by RBAC; users are cautioned to use record email instead of a cable to avoid broad distribution.

RBAC does apply to the PRIVACY caption for search purposes; only users provisioned with the PRIVACY caption can retrieve a message marked with this caption from the archive.

This caption is automatically applied by SMART when a cable is sent from the legacy system to SMART containing a date of birth or Social Security number.

·        CAUTION:  To comply with the Privacy Act and other Federal regulations, only those with a job requirement to search the archive for messages containing privacy-protected information should be provisioned with the PRIVACY caption.

RODCA CHANNEL

 

For messages relating to operational intelligence communications between authorized Department of Defense Agencies and Defense Attachés.

 

Owner:  DIA

 

Network:  ClassNet

Lateral use is permitted.

Purge the RODCA CHANNEL message from the Sent Items folder (press SHIFT + DELETE) immediately upon releasing the message.

Drafts of RODCA CHANNEL messages must be saved in the Drafts folder for the shortest time possible.  To delete a draft completely, press SHIFT + DELETE to delete the message without storing it in the Deleted Items folder.

·        Dissemination of RODCA CHANNEL communications is limited to the RODCA Control Officer in the Defense Attaché’s office.

·        The RODCA Control Officer, if required, will determine additional distribution.

·        RODCA CHANNEL messages cannot be forwarded electronically.

·        Recipients must empty their mailbox of any RODCA CHANNEL messages after receiving, printing, and storing a copy of the message.

·        RODCA CHANNEL message files will be maintained only by the DAO.

·        RODCA CHANNEL messages may be seen only by the addressee and, if not expressly precluded, by anyone the addressee considers to have a clear-cut “need to know.”

·        The message may not be reproduced, given additional distribution, or discussed with nonrecipients without the prior approval of the originator.

·        All paper copies must be returned to the RODCA Control Officer.

ROGER CHANNEL

 

For SECRET-level discussions of intelligence issues between the Department and Chiefs of Mission.  For specific uses, refer to 13 STATE 5486.

 

Owner:  INR

 

Network:  ClassNet

Lateral use is permitted if SECSTATE is an addressee.

SMART automatically applies NOFORN.

The Chief of Mission is usually the sender or a recipient.  State may designate additional recipients of ROGER CHANNEL cables it sends (typically section heads).

Releasers of ROGER CHANNEL messages must purge the message from the Sent Items folder (press SHIFT + DELETE) immediately upon releasing the message.

Users must delete ROGER CHANNEL messages from the Sent Items and Draft folders expeditiously using SHIFT + DELETE to bypass the Deleted Items folder.  Storage in mailboxes or .pst files is not authorized.

Domestic

·        ROGER CHANNEL messages from posts come in to the INR Watch.  Distribution is controlled by INR, which is normally guided by the addressees posts specify.

·        If INR thinks additional dissemination is necessary, INR will ask post or the regional bureau front office for concurrence.

Overseas

·        Users do not receive a comeback copy of ROGER CHANNEL messages.

·        ROGER CHANNEL messages are disseminated to the SMARTND mailbox, for distribution to the named addressees as indicated on the cable.

·        A named addressee may, at his or her discretion, share ROGER CHANNEL cables with others at post who are not designated on the cable, on a need-to-know basis.

·        Distribution should be limited to specifically named individuals and hard copies should be retained in a way that ensures that the cables are seen only by authorized recipients.

·        Electronic and paper copies of ROGER CHANNEL cables may be retained at post as needed, consistent with posts’ normal procedures for retention of classified material and limiting access to those with a need to know.

·        ROGER CHANNEL cables should be deleted from computer and communications systems and hard copies should be destroyed when the cable is no longer needed.

·        Post Administrators can access and forward only those ROGER CHANNEL messages that originate from their home post.  ROGER CHANNEL messages cannot be forwarded to an individual; they will only be sent to the SMARTND mailbox.

·        If post needs a previously destroyed ROGER CHANNEL message that post did not originate, contact INR/OPS or INR/Watch to retransmit the message.

SENSITIVE BUT UNCLASSIFIED

 

For messages containing material that is not classified for national security reasons, but warrants/requires administrative control and protection from public or other unauthorized disclosure.

 

Owner:  DS

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

SENSITIVE BUT UNCLASSIFIED should meet one or more of the criteria for exemption from public disclosure under the Freedom of Information Act (FOIA) (which also exempt information protected under other statutes), 5 U.S.C. 552, or should be protected by the Privacy Act, 5 U.S.C. 552a (see Privacy Act Information for details on how to mark messages that contain personal or sensitive information about individuals within or outside of DoS).

Types of unclassified information to which SENSITIVE BUT UNCLASSIFIED is typically applied include all FOIA exempt categories personnel, payroll, medical, passport, adoption, and other personal information about individuals, including Social Security numbers and home addresses and including information about employees as well as members of the public.

Confidential business information, trade secrets, contractor bid or proposal information, and source selection information.

Department records pertaining to the issuance or refusal of visas, other permits to enter the United States, and requests for asylum.

Law enforcement information or information regarding pending or ongoing investigations.

Information illustrating or disclosing infrastructure protection vulnerabilities, or threats against persons, systems, operations, or facilities (such as user names,  passwords, physical, technical, or network specifics, and in certain instances, travel itineraries, meeting schedules, or attendees), but not meeting the criteria for classification under Executive Order 13526, as amended; information not customarily in the public domain and related to the protection of critical infrastructure assets, operations, or resources, whether physical or cyber, as defined in the Homeland Security Act, 6 U.S.C. 131(3).

Design and construction information; certain information relating to the design and construction of diplomatic missions abroad, such as graphic depictions of floor plans and specifications for foreign affairs offices and representational housing overseas, as outlined in the DS Security Classification Guide for the Design and Construction of Overseas Facilities, dated May 2003; and certain information relating to the design and construction drawings and specifications of General Service Administration (GSA) facilities, as outlined in GSA Order PBS 3490.1, dated May 8, 2002.

Privileged attorney-client communications (relating to the provision of legal advice) and documents constituting attorney work product (created in reasonable anticipation of litigation).

Inter- or intra-agency communications, including emails, that form part of the internal deliberative processes of the U.S. Government, the disclosure of which could harm such processes.

SPECAT

 

Used by the military to restrict sensitive information.

 

Owner:  DoD

 

Network:  ClassNet

Lateral is allowed if SECSTATE is an addressee.

SMART assigns SPECAT automatically whenever EXDIS is used on a message that includes a non-State addressee.

Purge the SPECAT message from the Sent Items folder (press SHIFT + DELETE) immediately upon message release.

SPECAT message drafts should be saved in the Drafts folder for the shortest time possible.  To delete a draft completely, press SHIFT + DELETE (to delete the message without storing it in the Deleted Items folder).

·        SMART assigns EXDIS automatically to all inbound SPECAT messages.

·        Comeback copies will not be returned to the releaser; they will be sent only to the SMART-ND mailbox.

·        SPECAT messages must be deleted from inboxes expeditiously by pressing SHIFT + DELETE to bypass the Deleted Items folder.

·        IPC staff can retrieve and print copies for a user on a limited basis and only at the request of senior management.  Paper copies of SPECAT messages can be stored, but must be kept separate from subject files.

·        IPC staff should review storage of paper copies of SPECAT messages every 90 days to determine their continuing need for retention.  Destroy paper copies when no longer needed.

SPECAT EXCLUSIVE

 

Used by the military to restrict sensitive information further than SPECAT.

 

Owner:  DoD

 

Network:  ClassNet

Lateral is not allowed.

SMART assigns SPECAT EXCLUSIVE automatically whenever NODIS is used on a message that includes a non-State addressee.

Purge the SPECAT EXCLUSIVE message from the Sent Items folder (press SHIFT + DELETE) immediately upon message release.

SPECAT EXCLUSIVE message drafts should be saved in the Drafts folder for the shortest time possible.  To delete a draft completely, press SHIFT + DELETE (to delete the message without storing it in the Deleted Items folder).

·        SMART assigns NODIS automatically to all inbound SPECAT EXCLUSIVE messages.

·        Comeback copies will not be returned to the releaser; they will be sent only to the SMART-ND mailbox.

·        SPECAT EXCLUSIVE messages must be deleted from inboxes expeditiously by pressing SHIFT + DELETE to bypass the Deleted Items folder.

·        IPC staff can retrieve and print copies for a user on a limited basis and only at the request of senior management.  Paper copies of SPECAT EXCLUSIVE messages can be stored, but must be kept separate from subject files.

·        IPC staff should review storage of paper copies of SPECAT EXCLUSIVE messages every 90 days to determine their continuing need for retention.  Destroy paper copies when no longer needed.

STADIS

(STATE DISTRIBUTION ONLY)

 

Used to preclude initial distribution to other Federal agencies.  It is used also when disclosure of the information to other agencies would be premature and therefore not in the best interests of the Department.

 

Owner:  S/ES

 

Network:  ClassNet

Lateral use is permitted if SECSTATE is an addressee.

STADIS can be used with NODIS if a suitable subcategory is not available.

Address questions related to subcategories to the overseas post IPC or the S/ES Senior Watch Officer.

STADIS messages must either be classified or, if unclassified, must include the SENSITIVE caption.

If the message is not between the Secretary and a Chief of Mission, the drafter must include in the Passing Instructions line the attention indicators “FOR [title or name of addressee],” “FROM [title or name of the addresser].”  The S/ES Senior Watch Officer will determine proper dissemination from these passing instructions.

STADIS cables may not be marked SIPDIS for distribution on SIPRNet or placement on the NCD.  NCD scans for the presence of STADIS and these messages should not populate on the NCD site.

·        STADIS messages should be deleted by users from inboxes expeditiously by pressing SHIFT + DELETE to bypass the Deleted Items folder.  Since provisioned users can retrieve STADIS messages from the archive for future reference, storage in mailboxes or .pst files is not authorized.

·        STADIS messages with one or more email addresses for INFO will spill to an operator for manual review.  Post administrators must review the cable and remove non-State email addresses from the cable.  After the operator has verified that the cable does not include non-State email addresses, accept the cable from the Spill Queue to allow the message to be delivered.

Domestic

·        The SMART system restricts STADIS message dissemination to Department of State employees by limiting read access in the system’s caption definition.

Overseas

IPC staff can retrieve and print copies for a user on a limited basis and only at the request of senior management.

Users can store paper copies of STADIS with unrestricted material of the same security classification.

Users must review storage of paper copies of STADIS messages every 90 days to determine their continuing need for retention.  Destroy paper copies when no longer needed.

TERREP

 

For messages relating information about terrorism.

 

Owner:  S

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

The first paragraph must state any action requested.

TERREP messages must either be classified or, if unclassified, must include the SENSITIVE caption.

·        TERREP messages can be distributed only to members of the Emergency Action Committee (see 12 FAH-1 H-230).

TM CHANNEL

 

For messages between the Office of the Director General of the Foreign Service and posts for all travel messages (TMs), i.e., TMONE through TMEIGHT, as defined by 3 FAH-1 H-3760, Travel Messages.

 

Owner:  HR

 

Network:  OpenNet/ClassNet

Lateral use is permitted if SECSTATE is an addressee.

TM CHANNEL is not to be used on any other matters relating to personnel administration.

Drafters should follow the guidance found in 3 FAH-1 H-3760 for Travel Messages.

·        SMART enforces the caption owner’s message distribution policies.  HR policy regarding TM CHANNEL prohibits automatic delivery to LES without U.S. direct-hire review for financial and other HR-related issues.

·        Posts are not authorized to provide LE staff with automatic delivery of TM CHANNEL messages.  Cleared Americans may, however, pass TM CHANNEL messages via hard copy or email to LE staff, who, based on their position responsibilities, have a need to know.

TOFAS

 

Used for direct routing to the Department of Agriculture from Foreign Agricultural Service (FAS) field posts.

 

Owner:  FAS

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

TOPEC

 

For messages between Peace Corps headquarters and field representatives.

 

Owner:  Peace Corps

 

Network:  OpenNet/ClassNet

Lateral use is permitted if Peace Corps Headquarters is an information addressee.

TOPEC MED EYES

 

For messages regarding health information protected by the Privacy Act and/or the Health Insurance Portability and Accountability Act of 1996 (HIPAA), and distributed only to the Peace Corps medical staff at post or Peace Corps headquarters.

 

Owner:  Peace Corps

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

Overseas

·        TOPEC MED EYES at missions abroad are to be disseminated electronically, if applicable, on a minimum need-to-know basis and will be limited to the Peace Corps medical officer or designate.

·        TOPEC MED EYES messages may contain personal information, which must be protected under provisions of the Privacy Act, Public Law 93-570.

VISAS

 

For messages about individual immigration, visa and deportation cases, and operational and procedural aspects of the visa function.

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

When adding the VISAS caption, you can include a specific VISA category in the VISA Caption Free Form Word field.  Example:  VISA/CONDOR.

VISAS – PROTECTED BY INA 222 (f)

 

For messages that include visa records covered by INA 222(f).

 

Owner:  CA

 

Network:  OpenNet/ClassNet

Lateral use is permitted.

General visa-related reporting does not require the use of this caption.

Overseas

·        Retrieval of cables and record email messages bearing this caption will be restricted to those provisioned direct-hire Americans and LES.

·        Provisioned LES will have access to cables to or from their posts only; while provisioned direct-hire Americans will have access to all such captioned records.

 

Domestic

·        Retrieval of cables and record email messages bearing this caption will be restricted to provisioned direct-hire and contract users in CA/FPP, CA/VO, CA/EX, CA/P, DS, L/CA, and regional bureau country-desk officers.

5 FAH-2 H-444  through 449  unassigned

UNCLASSIFIED (U)