5 FAM 400
RECORDS MANAGEMENT Policy
5 FAM 410
Records and Information Management Program
(CT:IM-311; 12-22-2023)
(Office of Origin: A/GIS/IPS)
5 FAM 411 authorities
(CT:IM-289; 09-02-2022)
a. 44 U.S.C. Chapter 31, Records management by Federal agencies (Federal Records Act);
b. 44 U.S.C. Chapter 33, Disposal of records;
c. 36 CFR, Chapter XII, Subchapter B, Records Management;
d. 18 U.S.C. 2071 (Concealment, removal mutilation of records, etc.);
e. OMB and NARA Directive (M-19-21), Transition to Electronic Records;
f. Executive Order 12656, National Security Emergency Preparedness Responsibilities;
g. Executive Order 13526, National Security Information, as amended;
h. Executive Order 13556, Controlled Unclassified Information;
i. The E-Government Act of 2002;
j. OMB Circular A-130, Management of Federal Information Resources;
k. OMB Memorandum (M-15-14), Management and Oversight of Federal Information Technology;
l. 44 U.S.C 3551, Federal Information Security Modernization Act of 2014;
m. 5 U.S.C. 552, Freedom of Information Act (FOIA); and
n. 5 U.S.C. 552a, Privacy Act.
5 FAM 412 purpose
(CT:IM-289; 09-02-2022)
The Records and Information Management Program establishes Department of State’s (Department) records management policies and assigns responsibilities to all Department personnel to create and maintain authentic, reliable, and usable records for the length of their authorized retention period pursuant to the Federal Records Act and other laws and regulations to:
(1) Ensure records are available when needed, where needed, and in a usable format to conduct Department business;
(2) Minimize the financial and legal risk of losing valuable information;
(3) Maintain the Department’s corporate knowledge and history of its business decisions;
(4) Ensure all Department personnel receive mandatory records management training and/or briefings;
(5) Protect the legal and financial rights of the Government and of persons directly affected by the Department's activities;
(6) Ensure essential records of the Department are available and accessible to meet operational responsibilities during and after emergency conditions; and
(7) Comply with Federal laws and regulations, and relevant standards.
5 FAM 413 DEFINING Federal Records
(CT:IM-291; 10-13-2022)
a. Federal records (hereafter referred to as records) include all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them; and does not include:
(1) Library and museum material made or acquired and preserved solely for reference or exhibition purposes;
(2) Duplicate copies of records preserved only for reference; or
(3) Personal files (personal papers) that do not relate to or have an impact on Department business.
b. Whether recorded information meets the definition of a record depends on both the content of the information and the context in which it is created, not the classification, format, media, or the method of transmission.
c. Federal records are the property of the Department, not the individual employee. Employees may not remove records from State Department custody, except in accordance with Department policies.
d. Definitions of terms related to managing Federal records are found in 5 FAM 415.
5 FAM 414 scope
(CT:IM-289; 09-02-2022)
a. This policy applies to all recorded information, in all formats or media, created or received by Department personnel under Federal law or in connection with the transaction of Department business.
b. All Department personnel (Civil Service, Foreign Service, and Locally Employed Staff), contractors (PSC and third party) and other agency personnel who perform work for or on behalf of the Department, have a legal responsibility and business obligation to ensure federal records they create or receive while conducting Department business are captured, preserved, managed, and protected on Department-approved systems and platforms.
5 FAM 415 DEFINITIONS
(CT:IM-289; 09-02-2022)
Administrative records: Records relating to the housekeeping or facilitative functions common to most offices, for example, budget, personnel, equipment, and supplies.
Digitizing: The process of converting hard copy or analog records into a digital format.
Discovery: The process used by a party in a legal proceeding to obtain relevant information, or information reasonably calculated to lead to the discovery of relevant information, held solely by the opposing party that is relevant to the proceeding. Responses to discovery requests require identifying, locating, securing, and producing information and materials responsive to the discovery request. The term “discovery” is also commonly used to describe the process of reviewing all materials that may be potentially relevant to the issues at hand and/or that may need to be disclosed to other parties, and of evaluating evidence to prove or disprove facts, theories, or allegations.
Disposition: The minimum required amount of time that records should be maintained in the Department to conduct business and, when the records are eligible, the final action that must be taken (destroy temporary records or transfer permanent records to the National Archives).
Electronic message: Information sent or received between individuals over a communications platform or device. Electronic messages apply to text messaging, chat/instant messaging, and other forms of electronic messaging applications available through social media or mobile devices. They can reside on agency networks and devices, on personal devices, or hosted by third party providers.
Electronic records: Information recorded on any medium capable of being read by a computer and meets the definition of a record. Electronic records include, but are not limited to, records stored on-line or on off-line media such as tapes, disks, and optical disks.
File: An arrangement of records. The term is normally used to denote records, regardless of physical form or storage media, organized by subject, by date, or according to some other general principle, and maintained for the purposes of research, consultation, or the conduct of official business.
File series: A group of file units arranged by subject or function and kept together because they have a relationship arising out of their creation and use.
Legal hold: A suspension of disposition action(s) of records and the imposition of an obligation not to destroy, alter, modify, or transfer records or other materials whether paper or electronic, that do not fall within the definition of records because of legal, audit, investigative, or other needs.
Litigation hold: A suspension of disposition action records following the commencement of a legal proceeding or due to the reasonable anticipation of litigation, and the imposition of an obligation not to destroy, alter, modify, or transfer records or other materials, whether paper or electronic, that do not fall within the definition of records. Records that may be responsive to a discovery request, regardless of physical location, are required to be kept for as long as a hold is in place. A litigation hold is one type of legal hold.
Metadata: Metadata is data that describes other data. Meta is a prefix that -- in most information technology usages -- means "an underlying definition or description." Metadata summarizes basic information about data, which can make finding and working with instances of data easier.
Non-record material: Material that do not meet the definition of a record as set forth in 5 FAM. Examples are extra copies of documents kept only for reference, stocks of publications or processed documents, and library or exhibit materials intended solely for reference or display.
Permanent records: Permanent records have been determined by NARA to warrant preservation in the National Archives.
Personal files/Papers: Materials belonging to an individual that are not used to conduct agency business. Personal files are excluded from the definition of Federal records and are not owned by the Government.
Program records: Records documenting the unique, substantive functions for which an office is responsible. Program records consist of records relating directly to an organization or bureau’s specific mission.
Records: Includes all recorded information, regardless of form or characteristics, made or received by a Federal agency under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the United States Government or because of the informational value of data in them.
Records lifecycle: The states that a record goes through which includes creation or receipt, maintenance/use, and disposition.
Records system: The organized collection, processing, transmission, dissemination, retention, and storage of information in accordance with defined procedures. It may be called a record system or an information system. The latter term is most often used in reference to electronic records and involves input or source documents, records on electronic media, and output records.
Temporary records: Temporary records have been determined by NARA to have insufficient value to warrant preservation in the National Archives and may be disposed of after a specified retention period.
Traffic Analyses by Geography and Subject (TAGS) and Terms: An identification system consisting of acronyms and words specifically designed to organize and manage communications disseminated throughout the Department and posts.
Unscheduled records: Records whose final disposition has not been approved by NARA are unscheduled. Unscheduled records must be treated as permanent records until a final disposition is approved.
5 FAM 416 Program objectives
(CT:IM-289; 09-02-2022)
The records and information management program establishes the Department’s policies for managing records throughout their life cycle and as technology evolves to:
(1) Ensure records are captured and preserved by Department personnel while conducting Department business that is complete and accurate to the extent required to document the organization, functions, policies, decisions, procedures, and essential transactions of the Department;
(2) Ensure all Department records are covered by a NARA-approved records disposition schedule to comply with the Federal Records Act and other laws, and regulations;
(3) Establish effective management controls over the creation, maintenance, use, and disposition (preservation or destruction) of records, to include electronic formats with appropriate metadata, to:
(a) Preserve records for the mandated retention period pursuant to appropriate records disposition schedules;
(b) Facilitate the standards and procedures for handling, storing, and decontrolling records and information;
(c) Maintain the authenticity, reliability, integrity, and confidentiality of records throughout the lifecycle;
(d) Enable timely search, access and retrieval of records by Department personnel for appropriate business reasons;
(e) Safeguard records from removal, loss or premature destruction;
(f) Ensure the disposition of records are carried out pursuant to appropriate records disposition schedules;
(g) Facilitate the segregation and disposal of temporary records;
(h) Ensure compliance with discovery orders, subpoenas, and Federal information access laws and regulations such as the Freedom of Information Act, the Privacy Act, and Executive Order 13526, as amended; and
(i) Provide backup and recovery of records and information.
d. Ensure adequate training is provided to all Department personnel on the policies for managing records and their recordkeeping responsibilities.
e. Ensure essential records are available during and after an emergency for continuity of Department operations.
5 FAM 417 KEY PROGRAM OFFICIALS
(CT:IM-289; 09-02-2022)
Key program officials have a responsibility for ensuring the Department’s records management program effectively and efficiently complies with the Federal Records Act and all other laws and regulations.
5 FAM 417.1 Secretary of State
(CT:IM-289; 09-02-2022)
The Secretary of State is required to establish a Records and Information Management Program in accordance with the Federal Records Act. This responsibility is delegated to the Under Secretary for Management, and further assigned to the Assistant Secretary for Administration, the Deputy Assistant Secretary for Global Information Services, and the Director of the Office of Information Programs and Services (A/GIS/IPS).
5 FAM 417.2 Under Secretary for Management
(CT:IM-289; 09-02-2022)
a. The Under Secretary for Management serves as the Senior Agency Official for Records Management (SAORM) who leads the Department’s Records and Information Management Program.
b. The SAORM is responsible for meeting policy goals, statutory requirements, and other significant records and information management initiatives to comply with Federal laws, regulations, and NARA guidance to:
(1) Designate the Agency Records Officer to oversee and manage the operations of the Department’s Records and Information Program;
(2) Ensure the Records and Information Management Program is properly resourced and aligned with the Department’s mission and business functions to support the Department’s enterprise-wide strategic goals and objectives;
(3) Integrate records management requirements into Department-wide decision-making policies and processes to:
(a) Ensure records are created, managed and preserved in accordance with NARA-approved records disposition schedules;
(b) Engage senior-level stakeholders to advise on technology strategies and investments ad? to solve the challenges of electronic recordkeeping;
(c) Execute projects that will modernize the Department’s technical infrastructure and leverage analytics;
(d) Enhance information sharing;
(e) Enable efficient management, implementation, governance, execution, and migration of the Department’s electronic records and information systems and repositories; and
(f) Include methods to monitor performance goals, objectives, and measurements.
(4) Satisfy NARA reporting requirements and responses to inquiries of oversight and compliance bodies concerning the Department’s records management practices.
5 FAM 417.3 Agency Records Officer (ARO)
(CT:IM-289; 09-02-2022)
The Chief of the Records and Archives Management Division (A/GIS/IPS/RA) serves as the Secretary’s delegated records officer who is responsible for coordinating and overseeing the implementation of the Department’s Records and Information Program pursuant to the Federal Records Act. The Agency Records Officer:
(1) Plans, develops, implements, and evaluates the records and information management program, policies, practices, and procedures on behalf of the Secretary;
(2) Develops policies and procedures that meet the Department’s records and information management program objectives to align with the Department’s enterprise-wide information management strategic plan, goals, objectives, and initiatives;
(3) Administers the records liaison program for the bureaus and Foreign Service posts to provide counsel regarding records management policies and technical expertise for Department-wide compliance such as:
(a) Providing records management training, briefings, and outreach to Department personnel on policies, best practices, methods for implementing recordkeeping requirements, and meeting the objectives of records life-cycle management; and
(b) Conducting and participating in the records management onboarding and exiting processes for Presidential appointees confirmed by the Senate, in Washington, DC.;
(4) Manages the Department’s corporate archive to ensure records are readily accessible to meet Department business purposes;
(5) Collaborates with Department components to ensure life-cycle principles are integrated into Department business operations and information technology processes;
(6) Ensures records management functions, retention and disposition requirements are incorporated into information life-cycle processes and stages, including the design, development and implementing and decommission of information systems;
(7) Serves as the Department’s interagency liaison for records management reporting, records scheduling activities, transfer of legal custody of permanent records to NARA and the Department’s interagency portfolio with the NARA;
(8) Coordinates records activities with other Federal and regulatory agencies including NARA, the Office of Management and Budget (OMB), the General Services Administration (GSA), the Government Accountability Office (GAO), and the Office of Personnel Management (OPM);
(9) Works with oversight committees and organizations on records management issues for compliance with Federal laws and regulations;
(10) Represents the Bureau of Administration and the Department at inter-agency and public fora and working groups;
(11) Ensures formal training is provided to all Department personnel on the policies for managing records and their recordkeeping responsibilities;
(12) Conducts records management compliance reviews to measure the effectiveness of the Department’s records management program and practices;
(13) Has the Department’s final authority to certify copies of records as true and accurate copies of Department of State official records for legal purposes (excluding passport records);
(14) Holds the NARA Agency Records Officer Credential; and
(15) Serves as the Essential Records Manager for the Department and the Department Emergency Relocation Group to provide overall guidance and oversight for the protection of essential records; responsible for coordinating the recovery of damaged essential records across the organization.
5 FAM 417.4 Chief Information Officer (CIO)
(CT:IM-289; 09-02-2022)
a. The Chief Information Officer serves as the principal adviser to the Secretary of State, the Under Secretary for Management (M), and other senior officials on matters pertaining to developing and implementing, policies, plans, and programs to facilitate and strengthen the cost-effective, efficient, and timely application of information systems, knowledge management, and technology resources pursuant to Federal laws, and regulations to achieve strategic Department missions.
b. The Chief Information Officer collaborates with the Agency Records Officer through the capital planning and systems development life-cycle processes to ensure records management functionality is incorporated into Department information systems to include the following capabilities for the data:
(1) Capture and store records;
(2) Organize and preserve records electronically throughout the life-cycle as determined by approved records disposition schedule policies;
(3) Ensure records can be accessed and retrieved for as long as needed to conduct Department business and to support FOIA, Privacy and investigations;
(4) Ensure the appropriate rights for users to prevent unauthorized access, modification, or deletion of records;
(5) Appropriate audit trails are in place to track use of the records;
(6) Records can be exported for inclusion in the Department’s records archives and or deleted as determined by records disposition schedules;
(7) Disposition of records are executed based on approved records schedules: identify and effect the transfer of permanent records to NARA. Identify and delete temporary records that are eligible for disposal;
(8) Apply records hold or freeze on disposition when required; and
(9) Enable the migration of records and their associated metadata to new storage media or formats to avoid loss due to media decay or technology obsolescence.
5 FAM 417.5 Chief Data Officer (CDO)
(CT:IM-289; 09-02-2022)
a. The Office of Management Strategy and Solutions (M/SS) is the central management analysis organization reporting directly to the Under Secretary for Management to analyze strategic insights and solutions to help improve the Department’s management platform and to advance foreign policy goals. The office is comprised of three (3) directorates: the Center for Analytics; Consulting and Advanced Projects; and Policy and Global Presence. Together, M/SS works with partners to solve Department-wide management and analytical challenges.
b. The Chief Data Officer leads the Center for Analytics to leverage data to improve management and foreign policy decisions, and to expand data access throughout the Department. The Chief Data Officer:
(1) Develops and implements solutions for the efficient management, implementation, governance (including creation, application, and maintenance of data standards), execution and migration of the Department’s electronic records and information systems and repositories;
(2) Coordinates with Department officials responsible for using, protecting, disseminating, and generating data to ensure the data meets the Department’s needs; and
(3) Reviews the impact of the Department’s infrastructure on data asset accessibility and coordinates with the Chief Information Officer for improvements and to reduce barriers that inhibit data asset accessibility.
5 FAM 418 Program roles and responsibilities
(CT:IM-289; 09-02-2022)
Program roles and responsibilities define the organizations within the Department that collaborate with or support the records management program and assign records management responsibilities to all Department personnel.
5 FAM 418.1 Global Information Services (A/GIS)
(CT:IM-289; 09-02-2022)
a. The Deputy Assistant Secretary for Global Information Services (A/GIS) serves as the Senior Agency Official for Privacy with overall responsibility and accountability for ensuring the Department’s implementation of information privacy protections in accordance with OMB Memorandum M-16-24.
b. The Privacy Office (A/GIS/PRV) is responsible for administering the Department’s Privacy Program to ensure the Department’s compliance with federal privacy mandates, promoting awareness, and building public trust by implementing best practices for privacy incident and compliance functions defined in 5 FAM 460;
5 FAM 418.2 Information Programs and Services (A/GIS/IPS)
(CT:IM-289; 09-02-2022)
a. The Director of the Office of Information Programs and Services (A/GIS/IPS) serves as the primary point of contact and principal advisor on all matters concerning the management of information as a critical resource, specifically relating to records life cycle management, public and need-to-know access to information, classification management and declassification, and research of official and public information resources and corporate records archives.
b. The Agency Records Officer provides support to the Office of Information Programs and Services. A/GIS/IPS:
(1) Administers the Department’s Information Access Program for the need-to-know foreign affairs and national security community in Executive agencies, the Congress, and the public, as established by the FOIA, the Ethics in Government Act, E.O. 13526, as amended, and other applicable statutes and regulations;
(2) Provides procedures for identifying records of general interest or use to the public that are appropriate for public disclosure and for posting such records in a publicly accessible electronic format;
(3) Coordinates special document production efforts to ensure the Department’s compliance with discovery orders, subpoenas, and other similarly mandated demands;
(4) Ensures implementation of and compliance with the classification management and declassification requirements of E.O. 13526, as amended; and
(5) Manages the Department’s Library, a unique foreign policy collection.
5 FAM 418.3 Office of the Legal Advisor (L)
(CT:IM-289; 09-02-2022)
a. The Office of the Legal Adviser (L) advises and represents the Bureaus and missions of the Department; the Secretary and senior leadership; and, through the Secretary, the Executive Branch on all legal policy issues arising in connection with U.S. foreign policy and the work of the Department, including but not limited to:
(1) Interpreting statutes, laws, and regulations;
(2) Authorizing testimony of Department employees and production of Departmental records in response to legal process; and
(3) Advising when a legal hold must be placed on certain records and when it can be lifted.
b. The Office is organized to provide direct legal support to the Department of State's various bureaus, including both regional and geographic offices (those that focus on specific areas of the world) and functional offices (those that deal with specific subject matters such as economics and business, international environmental and scientific issues, or internal management).
c. The Office of Management (L/M) provides direct legal support and advice to facilitate the Agency Records Officer’s authority for records decisions and matters related to the Federal Records Act and the Department’s records management program.
5 FAM 418.4 Executive Secretariat (S/ES)
(CT:IM-289; 09-02-2022)
The Executive Secretariat (S/ES) is responsible for coordinating the work of the Department internally and serves as the liaison between the Department's bureaus and the offices of the Secretary, Deputy Secretary, and Under Secretaries. S/ES also handles the Department’s relations with the White House National Security Council, and other Cabinet agencies. S/ES-S Records Division:
(1) Implements and administers the records policies, standards, systems, and procedures;
(2) Maintains the official historical record for the Secretary and Department principals;
(3) Provides guidance and coordinates FOIA, Privacy Act, Congressional, DOJ, and internal bureau document search requests; and
(4) Coordinates and conducts onboarding and exiting records management briefings for S/ES staff and the Principal Officers of the offices supported by S/ES.
5 FAM 418.5 Bureau of Diplomatic Security (DS)
(CT:IM-289; 09-02-2022)
a. The Secretary has designated the Under Secretary for Management to be the Senior Agency Official for information security. The Under Secretary for Management further designated that the Bureau of Administration and the Bureau of Diplomatic Security (DS) share the responsibility for implementation of E.O. 13526.
b. The Office of Diplomatic Security is responsible for all aspects of protecting and safeguarding classified information and special access programs, to include SCI.
c. Develops and implements policies and procedures for protecting and safeguarding national security and sensitive information and systems to ensure its confidentiality, integrity, and availability.
d. Unless otherwise noted, 12 FAM 500 applies to all 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.
e. A/GIS/IPS is responsible for other aspects of implementing E.O. 13526, including the classification, declassification, and marking of information classified under the Order as well as training and guidance in classification and declassification pursuant to 5 FAM 480.
5 FAM 418.6 Office of Inspector General (OIG)
(CT:IM-289; 09-02-2022)
The Office of Inspector General is responsible for conducting and supervising independent and objective audits, inspections, evaluations, reviews and investigations of the programs and operations of the Department and any other organization for which the office is assigned responsibility. The Office of Inspector General:
(1) Inspects the Department’s records management program policies, operations and activities for compliance with Federal laws and regulations;
(2) Recommends corrective action; and
(3) Works with the Bureaus or Post inspected and the Agency Records Officer to resolve records management deficiencies identified during inspections.
5 FAM 418.7 Office of the Historian
(CT:IM-311; 12-22-2023)
The Office of the Historian is responsible for publishing the Foreign Relations of the United States official documentary history series, preparing historical studies for use in policy determinations, and advising Department officials on historical matters. As part of these duties, the Office of the Historian also provides recommendations to Department components on records issues through its collaboration with IPS during the records scheduling process.
a. The Deputy Assistant Secretary for Global Information Services (A/GIS) is responsible for establishing standards for records relating to oral histories in conjunction with the Office of the Historian.
b. The Office of the Historian is responsible for managing oral histories pursuant to the appropriate records disposition schedules.
c. Oral history materials refer to all documents, regardless of media, pertaining to interviews developed expressly for historical purposes and the material must be arranged in some logical sequence.
d. Such interviews are conducted by historians and initiated with systematic questions to obtain and record verbatim information from people who have participated in, or been witness to events, situations, and activities that the Department deems historically significant.
e. In line with professional oral history methodological standards, the record of an oral history interview comprises of preparatory documents, edited interview transcripts, and audio recordings of interviews. Such records shall be managed in accordance with the appropriate records disposition schedules.
5 FAM 418.8 Bureaus
(CT:IM-289; 09-02-2022)
a. Bureaus are responsible for establishing and maintaining an active records management program to ensure all Bureau personnel create, capture, and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the Department while conducting Department business.
b. The Bureau records management program must establish and implement internal policies and procedures that include the following minimum requirements:
(1) Inform Bureau personnel of their recordkeeping responsibilities during the onboarding and exiting process of employment;
(2) Incorporate recordkeeping requirements for records creation, maintenance, and disposition into Bureau programs, processes, systems and procedures;
(3) Ensure records management requirements are considered in the system lifecycle development process and fulfilled in authorizing the development of new systems and updates of existing systems;
(4) Assign responsibilities to each Office Director, or equivalent, to establish and execute procedures for managing the office’s records management activities. The Office Director must:
(a) Assign responsibilities to a person(s) in the office to manage the records operations and to liaise with the Bureau Records Coordinator;
(b) Ensure records are captured and stored on approved Department systems and platforms;
(c) Establish naming conventions and filing structures to ensure records are saved appropriately and can be located when needed; and
(d) Maintain Records repositories and filing systems pursuant to the appropriate records disposition schedule to ensure:
i. Authorized users can quickly retrieve records to conduct Department business;
ii. Continuous accountability of records throughout the lifecycle;
iii. Records integrity remains intact;
iv. Records are safeguarded pursuant to information access laws and security policies and procedures;
v. Easy and timely disposition of records can be carried out;
vi. Records destruction is suspended pursuant to legal holds and information access laws.
(5) Annually review the Department’s records disposition schedules to carry out the mandatory records disposition policies to retire (or destroy) eligible records;
(6) Notify A/GIS/IPS/RA of new Bureau mission functions or outdated records disposition schedules;
(7) Ensure all departing Bureau personnel carry out their recordkeeping responsibilities;
(8) Notify the Agency Records Officer of any actual, impending, or threatened unlawful removal, defacing, alteration, or destruction of records in the custody of the Department;
(9) Maintain and update Bureau-wide essential records and databases pursuant to the Department’s Continuity Framework; and
(10) Continually examine and update Bureau records management policies and procedures pursuant to Department records management policies and guidance and current Bureau program functions and operations.
5 FAM 418.8-1 Executive Office
(CT:IM-289; 09-02-2022)
The Executive Office is responsible for:
(1) Appointing a Bureau Records Coordinator to be responsible for monitoring and overseeing the records management activities of Bureau offices pursuant to Department policies and procedures;
(2) Reviewing requests and the materials proposed for removal by all Bureau personnel and coordinating with the Agency Records Officer for requests and proposed material made by Presidential appointees, located in Washington, DC, who are confirmed by the Senate; and
(3) Reminding Bureau personnel to annually review the Department’s records disposition schedules to initiate annual retirement (or destruction) of eligible Department records.
5 FAM 418.8-2 Bureau Records Coordinator (BRC)
(CT:IM-289; 09-02-2022)
Bureau records coordinators serve as the primary point of contact to liaise with Bureau offices on records management requirements and implementing Bureau internal policies and procedures to include:
(1) Monitoring and overseeing the Bureau records management operations;
(2) Regularly reviewing the bureau’s records systems and internal policies, and procedures for compliance with Department policies and procedures;
(3) Coordinating appropriate follow-on action with the appropriate Office Director and, if appropriate, the Records and Archives Management Division (A/GIS/IPS/RA); and
(4) Liaising with A/GIS/IPS/RA to convey Bureau records management needs and to keep abreast of Department initiatives, operations and guidance on matters related to records management.
5 FAM 418.9 Posts
(CT:IM-289; 09-02-2022)
a. The Principal Officer at each post is responsible for establishing and maintaining an active records management program to ensure all Post personnel create, capture and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures and essential transactions of the Department while conducting Department business.
b. The Post records management program must establish and implement internal policies and procedures that include the following minimum requirements:
(1) Inform Post personnel of their recordkeeping responsibilities during the onboarding and exiting process of employment;
(2) Incorporate recordkeeping requirements for records creation, maintenance, and disposition into Post programs, processes, systems, and procedures;
(3) Ensure records management requirements are considered in the system lifecycle development process and fulfilled in authorizing the development of new systems and updates of existing systems;
(4) Assign responsibilities to each Section Chief, or equivalent, to establish and execute procedures for managing the office’s records management activities to:
(a) Assign responsibilities to a person(s) in the office to manage records management operations and to liaise with the Post Records Coordinator;
(b) Ensure records are captured and stored on approved Department systems and platforms;
(c) Ensure records repositories and filing systems provide continuous accountability of records to ensure:
i. Records integrity remains intact throughout the lifecycle;
ii. Authorized users can quickly retrieve records to conduct Department business;
iii. Easy and timely disposition of records can be carried out in accordance with approved records disposition schedules;
iv. Destruction of records can be suspended to comply with legal holds and information access laws;
v. Safeguards are implemented to protect Department records and information from spillage, loss, an unlawful removal.
(5) Annually review the Department’s records disposition schedules and carryout the mandatory disposition policies to retire or destroy eligible Department records;
(6) Notify A/GIS/IPS/RA of outdated records disposition schedules and/or new Post mission functions;
(7) Ensure all departing Post personnel carry out their recordkeeping responsibilities;
(8) Notify A/GIS/IPS/RA of any actual, impending, or threatened unlawful removal, defacing, alteration, or destruction of records in the custody of the Department; and
(9) Continually examine and update Post records management policies and procedures to reflect current Post program functions and operations and to comply with Department records management policies and procedures.
5 FAM 418.9-1 Management Officer
(CT:IM-289; 09-02-2022)
The Management Officer is responsible for:
(1) Appointing a Post Records Coordinator to liaise with Post Sections and the Agency Records Officer on records management activities;
(2) Reminding Post personnel to annually review the Department’s records disposition schedules to initiate annual retirement (or destruction) of eligible Department records;
(3) Reminding personnel who are terminating employment with the Department of the requirements for the removal of personal papers and non-record materials; and
(4) Reviewing material proposed for removal by all Post personnel and deciding if removal is appropriate.
5 FAM 418.9-2 Section Chiefs
(CT:IM-289; 09-02-2022)
Section Chiefs are responsible for:
(1) Establishing and executing procedures for managing the Section’s records management activities and coordinating with the Post Records Coordinator to:
(a) Ensure Section personnel organize and maintain records on approved Department systems and platforms in the proper locations;
(b) Ensure records are protected pursuant to Department security policies and procedures to prevent spillage, and the removal or loss of records;
(c) Ensure records repositories and filing systems provide continuous accountability of records to include:
(2) Records integrity remains intact throughout the lifecycle;
(3) Authorized users can quickly retrieve records to conduct business; and
(4) Allow for easy and timely disposition of records in accordance with the appropriate records disposition schedules.
(5) Annually review the Department’s records disposition schedules and carryout the mandatory disposition policies to retire or destroy eligible Department records.
5 FAM 418.9-3 Post Records Coordinator
(CT:IM-291; 10-13-2022)
a. Under the supervision of the management officer, any cleared American at post can be designated the post records coordinator.
b. At posts that do not have an Management Officer, the principal officer shall designate a cleared employee to act as the post records coordinator.
c. The post records coordinator serves as the primary point of contact to liaise with Post sections on records management requirements and implementing internal policies and procedures to include:
(1) Regularly and timely applying the appropriate records disposition schedules to the post’s files;
(2) Regularly reviewing post’s records systems and records management practices;
(3) Analyzing the post’s records management needs and coordinating appropriate follow-on action with the appropriate Section Chief and, if appropriate, the Records and Archives Management Division (A/GIS/IPS/RA);
(4) Liaising with A/GIS/IPS/RA to keep abreast of Department initiatives, operations and guidance on matters related to records management;
(5) Establishing guidance and procedures to advise management of the records held within each section;
(6) Managing the post’s central files, if centralized, pursuant to Department policies and the records disposition schedules;
(7) Managing, safeguarding, and providing appropriate guidance for the disposition of any unclassified, non-SBU records stored off-site; and
(8) Coordinating retirement or safe haven of the post’s records with the Records Service Center (A/GIS/IPS/RA/RSC) as described in 5 FAM 450.
5 FAM 418.10 Department Personnel Responsibilities
(CT:IM-289; 09-02-2022)
a. All Department personnel have a legal responsibility and a business obligation to ensure documentation of their official duties are captured, preserved, managed, and protected on official government systems, applications, and platforms.
b. All Department personnel are responsible for:
(1) Creating, using, maintaining, preserving, and disposing of the Department’s records and information pursuant to the appropriate records disposition schedule;
(2) Creating, using, and protecting classified national security information pursuant 5 FAM 480, 5 FAM 1060, and 12 FAM 500; and
(3) Completing Department of State records management training, PK217 Records Management For Everyone, within 10 days of gaining OpenNet access and once each year thereafter. Failure to complete this mandatory training will result in suspension of OpenNet access. (13 FAM 301.1-4).
5 FAM 418.10-1 Senior Officials
(CT:IM-289; 09-02-2022)
a. Senior officials must create and preserve records necessary to adequately document the organization, functions, policies, decision, procedures, and essential transactions of the Department.
b. All records generated by senior officials to conduct Department business belong to the Department of State.
c. Specifically, senior officials must:
(1) Identify a records custodian to manage their records in support of proper records lifecycle management, including access;
(2) Maintain personal materials separate from official records; and
(3) Upon departure or transfer, only take personal papers and non-record materials, subject to review and authorization to ensure compliance with Federal records laws and regulations.
5 FAM 418.10-2 Transferring Personnel
(CT:IM-289; 09-02-2022)
a. Department personnel transferring between organizations within the Department are only permitted access to post/bureau records in the performance of official duties.
b. Transferring personnel must ensure all records of their previous organization are stored on the relevant post/bureau recordkeeping system (ex. Shared drive, SharePoint, etc.) prior to departure.
5 FAM 418.10-3 Departing Personnel
(CT:IM-289; 09-02-2022)
a. Departing Department personnel (those terminating employment with the Department) may not remove classified documents or information that warrants/requires administrative control and protection from public disclosure under the Freedom of Information Act (FOIA) or the Privacy Act pursuant to 12 FAM 540.
b. Departing personnel must:
(1) Incorporate all record material in his/her possession into an official filing system;
(2) Complete all file searches for which he or she has been tasked (such as FOIA requests, litigation related requests, or Congressional document production);
(3) Relinquish all classified and administratively controlled documents subject to restrictions on disclosure; and
(4) Execute a Form SF-312, Classified Information Nondisclosure Agreement certifying that they have not retained in their possession classified or administratively-controlled documents.
c. Before removing any personal papers or copies of unclassified documents deemed non-record materials, departing personnel must submit Form DS-1904, “Request for Authorization to Remove Personal Papers and Non-Record Materials” to their respective management office or section:
(1) Generally, a hands-on examination of the materials is required to determine the authorization to remove materials.
(2) The purpose of the review is to certify that any removal of record material by departing personnel does not:
(a)Diminish the official records of the Department; or
(b) Violate national security, FOIA or Privacy Act restrictions on disclosure; or
(c) Create an undue administrative burden.
d. The respective management office or section will conduct the review of the material requested by all Bureau or Post departing employees (except for Presidential appointees confirmed by the Senate and located in Washington, DC.) and decide on the authorization via Form DS-1904.
e. The Agency Records Officer, in cooperation with S/ES or an appropriate management office, will review to determine if the materials requested may be removed by Presidential appointees confirmed by the Senate and located in Washington, DC.
f. Departing personnel are reminded that fines, imprisonment, or both may be imposed for the willful and unlawful removal or destruction of records as stated in the U.S. Criminal Code (18 U.S.C., section 2071).
5 FAM 418.11 Decentralized Offices
(CT:IM-289; 09-02-2022)
a. The Department’s Records Officer has overall responsibility for the management of all Department of State records. However, offices in the Bureau of Consular Affairs that provide visa, passport, and overseas citizens services; the Bureau of Medical Services; the Bureau of Global Talent Management, the Bureau of Diplomatic Security, and the Office the Inspector General, known as decentralized offices within the Department, have large collections of centralized files that are unique with respect to both volume and content.
b. The records of these offices are essentially administrative in nature, contain primarily Sensitive But Unclassified (SBU) information, and are often name-retrievable. The decentralized offices have unique records management responsibilities, especially concerning access to and disposition of their records. Requests for access to the records of the decentralized offices are coordinated through the Requestor Liaison Branch of the Office of Information Programs and Services (A/GIS/IPS/RL) in conformance with the policies and procedures of 5 FAM 470.
5 FAM 419 UNASSIGNED