5 FAM 1200
STATE Messaging and Archive Retrieval TOOLSET (SMART)
5 FAM 1210
PURPOSE AND SCOPE
(CT: IM-300; 06-06-2023)
(Office of Origin: IRM/OPS/MSO)
5 FAM 1211 PURPOSE AND SCOPE
(CT: IM-272; 03-02-2020)
a. This subchapter establishes policy for the State Messaging and Archive Retrieval Toolset (SMART) application. This policy applies to all Department personnel, contractors, and other U.S. Government agency personnel (referred to as “users”) who are authorized access to Department facilities and networks (domestically and abroad).
b. All users of SMART must follow the policy in this subchapter and the associated Telecommunications Handbook (5 FAH-2) when using SMART.
5 FAM 1212 AUTHORITIES
(CT: IM-127; 03-05-2012)
The authorities for this policy are found in 1 FAM 271.5 and 5 FAM 113.
5 FAM 1213 DEFINITIONS
(CT: IM-300; 06-06-2023)
Allied Communications Publication (ACP): One of several publications that regulate the use of allied government transmission facilities. ACPs are identified by a numerical suffix, ACP-127, ACP-131, etc.
Addressee: The post, collective, individual, or distribution list to whom a message is directed by the originator. Addressees are indicated as either action or info (information).
Approver: An individual who has the authority (or to whom the authority has been delegated) to authorize release of a message or document that carries the authority of the Department of State, including reporting, policy formulation, and management.
Archive message: Department messages that have long-term record value and are stored in the SMART archive. SMART has two archive message types: cables and record emails.
Archive: The official Department database of all archive messages sent to and received by SMART. Users can search the archive for messages, save searches, and opt to enable notifications for when messages that meet their interests are added to the archive. Access to the archive is controlled by role-based access control (RBAC) restrictions.
Captions: Acronyms or phrases used to provide handling or distribution instructions for a cable or record email. A caption denotes the expected audience of a SMART message, thereby targeting distribution and limiting archive access. Captions take precedence over all other handling instructions. Refer to 5 FAH-2 H-440 for more information.
Classified message: In SMART, an archive message that is marked as Confidential or Secret and can only be received and retrieved from the archive by individuals with an appropriate security clearance.
Clearer: An individual who reviews and concurs with message text or substance. SMART messages can have more than one clearer.
Collective: A distribution list of several posts, agencies, and/or organizations grouped for a specific purpose or type of cable traffic. There are two types of collectives:
(1) Department-originated: Only the domestic designated organizations or bureaus within the Department may originate cable traffic to these collectives (i.e., the originator post must be SECSTATE WASHDC); and
(2) Field-originated: Only overseas designated posts may originate a cable to these collectives. Agencies outside the Department are not authorized to use collectives.
Critical Intelligence (CRITIC): A handling symbol and precedence for specially formatted cables, per the Defense Special Security Communications System Operating Instructions [DOI 103] conveying national security information that must be routed to the National Security Agency [NSA] and then delivered to the highest levels of the U.S. Government as fast as possible. Overseas personnel may only send CRITIC messages via SMART from a classified workstation.
Dissemination rules: Descriptive logic directives that determine message distribution based on logical expressions of the Department’s business rules. Dissemination rules direct SMART to perform actions based on the properties or metadata of a message, the keyword contents of the message, and job roles assigned to a user. These rules allow messages to be distributed to necessary recipients through derived addresses rather than only to direct addresses.
Enclave: The Department’s two enterprise networks: ClassNet for processing up to SECRET level information, and OpenNet for processing up to Sensitive but Unclassified (SBU) information. SMART processes and archives only unclassified and SBU messages on OpenNet. Both unclassified and classified messages are processed and archived on ClassNet. With the exception of the United States Department of Agriculture, cable traffic originating from outside agencies is processed on ClassNet. Almost all unclassified traffic originating from other agencies passes through an electronic cross domain security guard for access on OpenNet.
Main State Messaging Center (MSMC) administrator: An administrator at SMART's central site, the Department’s Messaging Center.
Metadata: Descriptive information about the content of a SMART message including, but not limited to, precedence, classification, TAGS, captions, special handling and passing instructions, drafters, clearers and approvers, and addressees.
Microsoft Outlook: The software application on which the SMART Client runs.
Originator: The post or organization that initiates a message.
Personally identifiable information (PII): (as defined by OMB M-07-16) Information that can be used to distinguish or trace an individual's identity; such as their name, Social Security number, biometric records, etc., alone, or when combined with other personal or identifying information, which is linked or linkable to a specific individual, such as date and place of birth, mother’s maiden name, etc. Refer to 5 FAM 460 for more information.
Plain language address (PLA): A unique readable name for use in the address component of a Command, Control, and Communications (C3) system message (i.e., cable). A PLA is an organizational address that identifies an organization or a group of organizations (e.g., SECSTATE WASHDC, AMEMBASSY ABUJA, AMCONSUL DURBAN, ALL EUROPE COLLECTIVE).
Precedence: A designation assigned to a cable by the drafter to indicate the relative urgency of the cable’s subject matter to the addressee. The selected precedence dictates the message processing path and alerts addressees to the level of action required. Generally, there are two precedence categories:
(1) Standard; and
(2) High.
Recipient: Someone that SMART delivers a message to based on derived or direct addressing.
Releaser: A user who sends an archive message. In SMART, a user must be provisioned with release authority to send a cable. Any user with a SMART account can send a record email.
Rolebased access control (RBAC): A method of restricting information access based on the roles of individual users within an organization. Users have access rights only to the information they need to do their jobs. In SMART, RBAC is enforced using captions, traffic analysis by geography and subject (TAGS), sensitivity, assigned post, employee type, and classification. RBAC is enforced when messages are disseminated and when users search the SMART archive.
Sensitive but unclassified (SBU) message: Information that is not classified for national security reasons, but that warrants a degree of protection and administrative control that meets the criteria for exemption from public disclosure set forth under Sections 552 and 552a of Title 5, United States Code: the Freedom of Information Act and the Privacy Act. See 12 FAM 540 for details on SBU.
SMART message: Electronically transmitted official and unofficial correspondence known as cables and record emails.
SMART post administrator: The local system administrator at a post abroad or at some domestic offices in the Department who manages the SMART users, messages, and post within their purview.
State Messaging and Archive Retrieval Toolset (SMART): The Department’s cable and record email application designed as a simple, secure, and user-driven system to support the conduct of diplomacy through modern messaging, dynamic archiving, and information sharing. SMART enables users to send and receive organizational authority messages and other messages with long-term value on both OpenNet and ClassNet. These messages are stored and searchable in the SMART Archive.
Traffic analysis by geography and subject (TAGS): Abbreviations that aid in identifying subject content, world locations, and programs in communications disseminated throughout the Department and posts. These markings are metadata that factor into message dissemination, message retrieval, and disposition in the archive. TAGS types include: subject, geographical, program, organizational, and personal. SMART requires at least one subject TAGS on archive messages.
5 FAM 1214 Message Types and their Usage
5 FAM 1214.1 Archive Messages
(CT: IM-300; 06-06-2023)
a. There are two types of SMART archive messages: cables and record emails. See 5 FAM 1214.2 and 5 FAM 1214.3 for definitions of these message types.
b. When drafting, approving, and/or releasing archive messages, a user must comply with 5 FAM 400, 5 FAM 1200, 5 FAH-1, 5 FAH-2, 12 FAM 500, 12 FAM 600, 12 FAH-6 H-540 and any other Department requirements concerning records management, correspondence, and information security.
c. Other agencies must comply with Department standards and procedures when using the Department’s communications systems. At post, the messaging regulations for other agencies will be followed only when they do not conflict with or adversely impact the Department’s systems and requirements.
d. Include at least one subject TAGS (see 5 FAH-1 H-140) and an appropriate subject line on all Department archive messages. SMART automatically applies Executive Order 13526 information to Department archive messages.
e. All archive messages must be marked accordingly using the appropriate sensitivity marking category designator (see 12 FAM 540).
5 FAM 1214.2 Cables
(CT: IM-300; 06-06-2023)
a. Cables are official records of Department of State policies, program activities, post operations, and personnel management. Cables are archive messages that are sent to organizational addressees (SECSTATE, AMEMBASSY, AMCONSUL, etc.) and are disseminated according to system rules and user profiles. Cables are always cleared and approved, either directly or through delegation, and carry organizational authority.
b. Cables contain official evidence of the Department’s business.
c. Cables require a PLA in the line.
d. Cables may be addressed to individuals in the info line.
e. Cables must have precedence, TAGS, and classification defined.
f. Cables may contain captions to restrict dissemination and archive access.
g. Cables may be marked 'Addressee Only' to limit search access to the releaser and message addressees, subject to RBAC permissions.
h. Cables may carry the privacy/PII marking as a reminder to safeguard the content appropriately. This marking must be used in conjunction with a restrictive caption or SMART’s 'Addressee Only' option to limit dissemination and/or search access.
i. Cables must display the signature of the designated principal in charge as the authority for release at the end of the cable.
j. Cables must have message reference numbers as unique identifiers.
k. Cables are saved to the archive.
l. Cables can be searched and retrieved from the archive depending on user RBAC permissions. Unclassified ALDAC messages, without restrictions, are accessible to all authenticated cleared personnel regardless of a SMART account.
5 FAM 1214.3 Record Email
(CT: IM-300; 06-06-2023)
a. A record email is a message, or an email converted to an archive message, whose content adds to a proper understanding of the formulation and execution of basic policies, decisions, actions, or responsibilities of Department offices and posts abroad, and as such is stored in the SMART archive for its long-term record value. Record emails may be analogous to memos, correspondence, important meeting notes, and other documents with long-term value. There are two types of record email:
(1) Message directly addressed (MDA), and
(2) For the record (FTR).
b. MDA record emails are addressed to individuals or distribution lists and assigned a unique identifier as a MDA (e.g., 21 MDA 12345).
c. FTR emails are addressed to the archive and assigned a unique identifier as a message “For the Record” (e.g., 21 FTR 4567).
d. Record emails must have a TAGS and classification defined.
e. Record emails may contain captions to restrict dissemination and archive access.
f. Record emails may be marked ‘Addressee Only’ to limit search access to the releaser and message addressees, subject to RBAC permissions.
g. Record emails may carry the Privacy/PII marking as a reminder to safeguard the content appropriately. This marking must be used in conjunction with a restrictive caption or SMART’s 'Addressee Only' option to restrict dissemination and/or search access.
h. SMART does not require record emails to have a clearer or approver.
i. Record emails will not display the signature of the designated principal in charge as the authority for release at the end of the email.
j. Record emails can be searched and retrieved from the archive, depending on user RBAC permissions.
5 fam 1215 REPORTING SMART PROBLEMS
(CT: IM-272; 03-02-2020)
Domestic users experiencing problems with SMART should contact the IT Service Center at ITServiceCenter@state.gov or 202-647-2000. Users abroad experiencing problems with SMART should contact their local information management (IM) staff.
5 fam 1216 SMART SYSTEM ADMINISTRATOR TRAINING
(CT: IM-272; 03-02-2020)
a. SMART post administrators are required to complete annual SMART system administrator training. For current SMART system administrator course offerings and schedules, please see the FSI OpenNet site.
b. A “Post Administrator Training Report” in SMART’s Full Reporting can assist post administrators with tracking their training due date. SMART also sends reminder emails when training is due.
5 FAM 1217 Through 1219 UNASSIGNED