EXHIBIT 1-1 SENATE LEGAL COUNSEL MEMO-Continued the Archives shall remain nonpublic for twenty years after their creation, or, in the case The only exception to the requirement that committees preserve documents MANAGEMENT CHECKLIST Are all majority and minority staff periodically briefed about their recordkeeping responsibilities under Senate Rules XI and XXVI 10(a)? Do they understand that committee records may not be taken away from the Senate (18 U.S.C. §§ 641, 2071)? Do the chief clerk and minority clerk oversee records management throughout the committee? Is this responsibility part of their job descriptions? Has the committee considered recruiting an archivist? Do subcommittee records clerks monitor recordkeeping practices in their respective offices? Does each staff member receive a copy of the pamphlet Senate Records: Guidelines For Committee Staff? Does each staff member receive guidance on records disposition procedures and transfer of material to the Archives? Do staff know how to manage their electronic files? Is access to all records, including paper, audiovisual, and electronic, limited to authorized staff? Has the office established procedures for storing security-classified, Privacy Act, and other restricted records? Is there a complete set of markup or business meeting transcripts on paper? Are these transferred to the Archives at the end of each Congress? Are the transcripts scanned into the system as a security backup copy? ☐ Are staff maintaining complete legislative files documenting their work on legislation? Are these files being transferred to the Archives when they become noncurrent? Do they contain electronic documents? Is a complete set of briefing books transferred to the Archives at the end of each Congress? Are investigative files carefully maintained and adequately indexed? Are treaty files and related background information being carefully maintained? Are the files complete? Do they contain relevant electronic documents? Are nominations files carefully maintained? Do they contain e-mail recommendations? Are they transferred to the Archives at the end of each Congress? Are official communications received by the committee carefully filed? Are they complete? Is substantive information on computers, including e-mail and attachments, being saved? Is it being systematically archived? CHAPTER II: FUNCTIONAL RECORDKEEPING This chapter presents an overview of committee activities and the kinds of records required to accomplish them. Its purpose is to provide administrative staff with a way to manage committee resources and meet committee recordkeeping requirements which are assigned by Senate Rules XI and XXVI 10(a). Basic committee activities are described and recommendations are given for maintaining the related textual and electronic documentation. Chief clerks, minority clerks, archivists/records managers, and designated helpers in each subcommittee office can use the following charts to determine what files series to create. Setting up office files is a collaborative task. All staff need to be aware of which documents are important to retain and how to file them. They should have a clear understanding of how to label electronic documents and group them into appropriate "folders." Many committee documents have long-term research value. They are expensive to acquire, compile, and analyze. Maintaining them in carefully designated file series contributes immensely towards their future usefulness. Large committees are strongly encouraged to recruit a professional archivist. Such a person will have the necessary education and training to implement the guidelines in this chapter. COMMITTEE ORGANIZATION While staff organization and specific duties vary, there are two general types under which committees are organized. Centralized: Committees organized in this manner are usually small in size and relatively non-partisan in subject matter. They are able to create "centralized" files, especially for legislation and oversight issues. Decentralized: Committees organized in this manner are large with separately staffed subcommittees. They will create a combination of centralized and decentralized files and many legislative and oversight files will exist in the subcommittees. ROLE OF THE CHIEF AND MINORITY Most committees have separate majority and minority staffs.5 Consequently, the files are separately maintained. It is especially important for the majority and minority counsels and clerks to implement procedures that ensure the preservation of their respective records. Preserving only the majority's files would violate Senate Rule XXVI. 10(a) which stipulates that "all committee . . . records . . . shall be the property of the Senate . . . ." Moreover, preserving only majority files would be preserving only one side of a committee's evaluation. To effectively manage committee resources these two clerks (or a professional archivist) must do the following: . • Direct records retention and disposition activities within their respective offices by identifying all offices and staff that are maintaining records • Process their transfers of noncurrent records directly through the Senate archivist, or committees may designate an archivist/records manager to hold all transfer documentation. In lieu of a committee archivist/records manager, the clerks should retain copies of their respective transfer documents to facilitate file retrieval. • Ensure that the staff are briefed when they are hired and periodically thereafter about their responsibility to maintain records in good order • Designate individuals within each office unit to assist in the preparation of committee records for transfer to the Archives at the end of each Congress • Ensure that committee hearing and business meeting transcripts, "public" nominations files, and offi 5 Senate Resolution 4 (95th Congress, adopted February 4, 1977) and Senate Standing Rule XXVII.3 specify that committee staffs "should reflect the relative number of majority and minority members of the committees." A majority of the minority members of any committee may, by resolution, request that at least onethird of all personnel funds of the committee be allocated to the minority members. Senate Rule XXVII.3 states that a majority of the minority members on a committee may request, by resolution, proportionate space, equipment, and facilities. Accordingly, all committees, except the Select Committee on Ethics which is nonpartisan, have established separate majority and minority offices. cial communications are retained by the full committee and are regularly archived • Ensure that a set of briefing books prepared for hearings are routinely archived by majority and minority staff • Ensure that records of significant legislation, oversight issues, and investigations are well managed and routinely archived • Ensure that when materials are prepared for archives, that all relevant files, including electronic documents are archived together COMMITTEE ARCHIVISTS/RECORDS Some committees have hired professional archivists/records managers to oversee the preservation of valuable committee records. This has proven to be a great success for improving the quality and completeness of the committee's archives and enhancing the ability of staff to retrieve information from them. Archivists can provide significant assistance with managing and archiving electronic documents. Large committees, in particular, are encouraged to create a position for a professional archivist. Small committees, at a minimum, should ensure that a staff person is sufficiently trained to carry out archival duties or they could assign additional duties to a professional archivist. POSITION DESCRIPTION FOR This position description lists tasks that a professional archivist/records manager can perform for a committee together with the necessary skills and qualifications. Job Summary: The staff archivist/records manager will survey records management practices, recommend improvements, work with staff to maintain textual and electronic records in an appropriate manner, ascertain and ensure the completeness of legislative, oversight, and nominations documentation, prepare inventories of archival transfers, and serve as liaison with the Senate archivist in transferring records to the Archives and in retrieving records from the Archives. Duties: Perform an evaluation of textual and electronic records management practices and suggest modifications and improvements to facilitate work processes and capture adequate documentation of committee work on legislation, oversight, nominations, investigations, and treaties. Work with staff, especially new staff, to establish appropriate filing and disposition routines for all records created and maintained by the office, including identification of permanent records and those that can be disposed. Document the filing scheme and have a copy available for staff use. Advise on the migration of digital records to assure continued availability. If migration of digital files is not feasible, print out documents and file with the appropriate records. Arrange, describe, and prepare for transfer to the Archives the permanently valuable non-current records of the committee, including papers, electronic records, photographs, and audio-visual media. Make certain that special media are identified with as much information as available, such as software, names of individuals, dates, and locations. Evaluate the records for appropriate formatting applications including scanning and microfilming. Prepare appropriate records for scanning. Provide necessary basic conservation for the collection, for example, replace rusted staples and paper clips; make certain that files are not too full by creating multiple file folders; separate, photocopy, and replace damaged irradiated mail; and make certain that folder labels are stable and readable. Knowledge: Knowledge of professional ethics. Knowledge of Senate Standing Rules and relevant laws governing the ownership and disposition of committee records. Knowledge of textual and electronic archival and records management principles and techniques. Knowledge of committee functions and role in the legislative process. Knowledge of which records best document committee business functions. Knowledge of historical research methods. Knowledge of contemporary American history. Knowledge of House/Senate legislative procedures. Skills: Excellent communication and interpersonal skills. Aptitude for complex, analytical, and detailed work. Knowledge of PC-based processing programs necessary for inventory preparation. Qualifications: Professional credentials, including a graduate degree in American history or archival/library management, or specialized training at an archival institute. (Experience on Capitol Hill or with the political process is desirable but not necessary.) |