5 FAH-4 H-100
RECORDS MANAGEMENT
5 FAH-4 H-110
GENERAL
(CT:RMH-22; 10-26-2018)
(Office of Origin: A/GIS/IPS)
5 FAH-4 H-111 PURPOSE
(CT:RMH-1; 10-30-1995)
This handbook prescribes the basic procedures and
practices for the efficient and secure management of records of the Department
of State and Foreign Service posts. It is intended for the use of officers,
supervisors, or other personnel who are directly or indirectly responsible for
records operations or management, regardless of the physical location of the
records.
5 FAH-4 H-112 SCOPE
(CT:RMH-1; 10-30-1995)
The guidelines and procedures contained in this handbook
pertain to the creation, use, maintenance, and ultimate disposition of
records. Unless specifically stated, these records management procedures
pertain to both Department offices and posts overseas.
5 FAH-4 H-113 DEFINITIONS
(CT:RMH-22; 10-26-2018)
Administrative Records.
Records relating to budget, personnel, supply, and similar housekeeping, or
facilitative functions common to most offices, in contrast to program records.
Archival Records. Records with
long term or permanent value worthy of preservation by the National Archives.
Automated Document System (ADS).
ADS is an automated central database that contains texts of telegrams and
written documents about Department policies dating back to 1973. The two basic
retrieval files are:
(1) Citation filecontains summary data on a
document. Included are originator, addressee, TAGS, subject line, and
ADS-generated number identifying the reel and frame location of the microfilmed
text stored by A/GIS/IPS.
(2) Text Record filecontains texts of telegrams. ADS
stores citations to the microfilmed texts of the following types of documents:
General memorandums;
Memorandums of Conversation;
Congressional correspondence;
Diplomatic Notes;
Technical agreements;
Opinion papers;
INR reports;
General correspondence; and
Telegrams.
Destruction. The complete elimination
of the record, through such means as burning or shredding.
Disposition. The actions taken
regarding records no longer needed in current office space. These actions
include transfer to the Records Service Center or the Washington National Records
Center, transfer to another federal agency, transfer of permanent records to
the National Archives, and destruction of temporary records.
Donation. The authorized
transfer of temporary records from a Federal agency to an eligible person,
organization, institution, corporation, or government (including a foreign
government) after the authorized retention period has expired.
Electronic Records. Records
that include numerical, graphical, and textual information recorded on any
medium capable of being read by a computer and which satisfies the definition
of a record found in 44 U.S.C. 3301. This includes, but is not limited to,
both on-line storage and off-line media such as tapes, disks, and optical disks
(36 CFR Chapter 12 Subchapter B).
Electronic Records System. Any
information system that produces, manipulates, stores, or transfers federal
records by using a computer.
Federal Records. By law,
Federal records are all documentary materials (including all books, papers,
maps, photographs, machine readable materials), or other documentary materials,
regardless of physical form, that are:
(1) made or received by an agency of the United States
Government in pursuance of Federal law or in connection with the transaction of
public business, and
(2) preserved or appropriate for preservation as
evidence of agency activities or because of the value of the information they
contain (44 U.S.C. 3301). Appropriate for preservation means documentary
material made or received that will be filed, stored, or otherwise
systematically maintained by the agency because they constitute evidence of the
organization, functions, policies, decisions, procedures, operations, or other
activities of the Government or because of the informational value of the
material. Drafts of documents that contain unique information, such as
annotations or comments, that help explain the formulation or execution of
agency policies, decisions, actions or responsibilities, and which were
circulated or made available to employees other than the drafter for the
purpose of approval, comment, action or to keep staff informed about agency
business, are considered records.
NARA. National Archives and
Records Administration
Non-record Material. Materials
that do not meet the statutory definition of records or that have been excluded
from coverage by the definition. Excluded materials are extra copies of
documents kept only for reference, stocks of publications and processed
documents and library or museum materials intended solely for reference or exhibit.
Permanent Record. Any Federal
record that NARA has determined to have sufficient value to warrant its
continued preservation by the National Archives.
Personal Papers. Documentary
materials of a private or non-public nature that have not been used in the
transaction of Department of State business.
Program Records. Records
documenting the unique, substantive functions for which an office is
responsible, in contrast to administrative records.
Records Disposition Schedule.
A document describing, providing instructions for, and approving the
disposition of records. It includes the type of disposition (destroy, retire,
transfer), and when such action is to be taken.
Retirement. The transfer of
records to the Records Service Center or a Federal records center for storage
according to the authority cited in the records disposition schedules.
Safe Haven. The temporary
storage of a posts valuable records in the Department or a nearby post deemed
appropriate until hostilities subside.
Storage Media. Media that
includes, but is not limited to, magnetic media, such as tapes and disks; and
optical media including optical disks and CD-ROM.
Temporary Record. Any Federal
record that the Archivist of the United States has determined to have
insufficient value to warrant its preservation by the National Archives.
Transfer. The act or process
of moving records from one location to another, especially from office space to
storage facilities or Federal records centers, from one Federal agency to
another, or from office or storage space to the National Archives.
5 FAH-4 H-114 TRAINING AND TECHNICAL
ASSISTANCE
5 FAH-4 H-114.1 Training
(CT:RMH-22; 10-26-2018)
A/GIS/IPS provides
training opportunities through the National Foreign Affairs Training Center on
the records management program and the application of TAGS/Terms. Specialized
training for individual offices or posts may be obtained by request to A/GIS/IPS.
5 FAH-4 H-114.2 Technical
Assistance
(CT:RMH-22; 10-26-2018)
A/GIS/IPS provides
support to offices and posts in establishing appropriate filing systems,
reviewing information flow, and determining the adequacy of filing techniques.
In addition, A/GIS/IPS conducts reviews as
a means of providing improved operations, protecting information resources and
ensuring compliance with Federal regulations.
5 FAH-4 H-115 JOINT AGENCY RECORDS
(CT:RMH-1; 10-30-1995)
a. Certain posts are organized to share with other
Federal agencies administrative support through a Joint Administrative Office
(JAO). In consideration of records management policies and guidance, the
records maintained by these posts are in two categories: administrative and
programmatic.
b. Administrative records reflect administrative and
fiscal services rendered to the participating agencies designated in the
written agreement of consolidation. These records are handled in accordance
with the procedures of this handbook.
c. Programmatic records are substantive records
created by the agencies involved in a JAO agreement. These records are the
property of the creating agency and are handled in accordance with the records
management policies and procedures of the creating agency.
5 FAH-4 H-116 RECORDS OF OTHER AGENCIES
AT POST
(CT:RMH-1; 10-30-1995)
a. The records management policies and procedures of
the agency which created the records are to be followed.
b. In a crisis situation, the posts policies and
procedures relating to security of records and information take precedence over
an individual agencys records management policies and programs. Refer to the
Posts Emergency Action Plan (EAP). Federal regulations allow for the
destruction of records in emergency situations.
5 FAH-4 H-117 THROUGH H-119 UNASSIGNED
(CT:RMH-1; 10-30-1995)