CHAPTER V:

Sensitive and classified information may be received or created by staff in the course of conducting research and investigations. It can be contained in documents or it can be processed, transmitted, and stored electronically. Whether provided by executive agencies, acquired from private sources, or originated within Congress, such information should be safeguarded and protected. Offices maintaining national security-classified information must contact the Office of Senate Security for guidance ((202) 224–5632). All Senate staff need to be familiar with Senate security requirements and to comply with them. When sensitive or classified information becomes noncurrent, it should be appraised for possible permanent retention with the committee's archives.

DEFINITIONS

Sensitive information is defined in numerous statutes and regulations and can generally be described as information that, if prematurely disclosed, could result in the conveyance of an unwanted political, military, or economic advantage to others. Alternatively, release might be regarded as an undue invasion of personal privacy or contrary to sound business practices.

Classified information originates in the executive branch or is received from foreign governments and is presented to Congress with a clear indication of its protected status. Additionally, Congress can generate classified documents internally. For example, notes of a classified briefing or made from a classified memo are classified at the same level as the original information. National Security Classified documents are marked with the identification labels "Top Secret," "Secret," and "Confidential", indicating that their contents met prescribed standards for the creation of official secrets. The Senate's regulations and procedures are described in the Senate Security Manual, available from the Office of Senate Security. Offices wishing to store classified information must be certified by the Security Office.

More specifically, the following types of information warrant protection within the executive branch and, therefore, should be regarded as "sensitive" within Congress. (Appendix E reproduces the text.)

• Classified information (18 USC 952); (50 USC 783) • Commercial or financial matters (5 USC 552(b)(4))

• Defense information (18 USC 793-798) Diplomatic codes (18 USC 952)

• Electronic surveillance information (50 USC 1801) • Grand Jury proceedings (18 USC, Rule 6, Federal Rules of Criminal Procedure)

• Identities of certain United States undercover intelligence officers, agents, informants, and sources (50 USC 421-422)

Intelligence sources and methods (50 USC 4033)

• Law enforcement investigatory files (5 USC 552(b)(7))

• National defense or foreign policy (5 USC 552(b)(1)); (E.O. 12958)

• Personal privacy (5 USC 552(b)(6)); (5 USC 552(a))

• Identifiable census data (13 USC 9)

• Restricted data regarding atomic energy (42 USC 2274-2276)

• Tax return information (26 USC 6103) • Trade secrets (18 USC 1905)

Staff may acquire certain types of sensitive information when they review nominations (for example, IRS returns and FBI background reports) or process casework (medical information, confidential business information, trade secrets, personal information provided in confidence, for example). Other types of information that may be of sensitive nature include documents not routinely available to a party in litigation with an agency, such as memos prepared for administrative proceedings or litigation before a federal or state court. Certain types of investigative information related to law enforcement may also need to be restricted.

A variety of sources may be consulted for further clarification and definition of sensitive information. A concise discussion of the five most commonly restricted categories (privacy, business information, personnel data, investigative information, and statutory restricted) appears in Archives and Manuscripts: Law (Chicago, Society of American Archivists, 1985) by Gary M. Peterson and Trudy Huskamp Peterson. Another useful discussion of categories of information which may be protected from public disclosure under the Freedom of Information Act and the Privacy Act appears in A Citizen's Guide on Using the Freedom of Information Act and the Privacy Act of 1974 to

Request Government Records, House Report 10537, 1997. This report contains sections discussing reasons access may be denied under the FOIA and Privacy Acts.

Legal Issues Related to the Possible Release of Classified Information by Senators, Representatives, or Members of Their Staffs, by Elizabeth B. Bazan (CRS Report 89-322A), discusses the protection of members and aides engaged in legislative acts under the speech or debate clause of the United States Constitution, Art. 1, Sec. 6, cl. 1, and the applicability of criminal sanctions for disclosure of national defense information under statutes dealing with espionage and restricted data on atomic energy.

HANDLING CLASSIFIED INFORMATION

Specific procedures for receiving, storing, recording, transmitting, and disposing of classified information are outlined in the Senate Security Manual. The Office of Senate Security also processes security clearances, provides information on secure meeting rooms and physical security surveys, including access control, locks, closed circuit TV, alarms, safe surveys, and sensitive compartmented information facilities. The office provides training on document receipt and transfers, and assists with transferring records to the National Archives for declassification coordination and review.

DISPOSITION FOR PERMANENT
RECORDS

All classified material designated for permanent retention as part of the committee's archives will be transmitted directly from the Office of Senate Security or other authorized Senate holding areas to the National Archives. All such transmissions to the Archives must be documented to the item level on separate transfer forms. If an item level log is available, a copy of this should accompany the transfer. Assistance with preparation of these forms is provided by the Senate archivist ((202) 224-3351) or the Office of

Senate Security. Staff at the National Archives either will review or coordinate the review of material by the originating agencies for declassification purposes.

Sensitive material being readied for transfer to the archives should be clearly identified and boxed separately from nonsensitive records. The transfer sheet should clearly state policies for handling and access to this material.

DISPOSAL AND DESTRUCTION
PROCEDURES

Classified information appraised as nonpermanent and therefore disposable cannot simply be tossed in a wastebasket. Such material must be transferred to the Office of Senate Security for disposition.

When classified records are destroyed, a written record of the destruction should be made. It should be signed and dated by the staff member and retained for at least two years. Any classified waste material such as handwritten notes or photocopies should be safeguarded and disposed of in the same manner as original documents. Further instructions concerning classified information processed on electronic media are contained in the Office of Senate Security Manual. Sensitive information that is not deemed to be a permanent record should be shredded. The Office of Senate Security can provide information about shredding capabilities within the Senate. For large volumes of records, consult the Senate archivist.

DECLASSIFICATION

Declassification assistance is available to Senate committees from the Records Declassification unit and is coordinated with the Center for Legislative Archives at the National Archives. Classified materials are transmitted directly from the Office of Senate Security and other authorized offices to the Archives for declassification review. Arrangements for this service are made with the Senate archivist at the time of transfer. Offices should be aware that some information may not be releasable immediately.

CHAPTER VI:

The following discussion is presented to aid committee clerks in evaluating basic aspects of management or training new staff in standard office procedures. For purposes of consistency, it is best to have the same individual or individuals perform these tasks on a regular basis.

PROCESSING INCOMING INFORMATION • Check and sort incoming documents

• Mark with the file designation (For example: Counsel-energy; Official communication; Subcommitteelegislation; Oversight; Nomination)

Index or cross-reference, as necessary (Using an office list of terms)

• File material regularly Checking And Sorting

As the daily mail arrives, the following steps should be taken by staff in the mail room and individuals managing committee files.

• Separate the papers into groups: "Junk Mail," or items to be discarded; items requiring further action; and items to be filed. The chief clerk should establish sufficient guidelines for sorting and periodically review the process.

• Determine the disposition of publications including journals, newsletters, directories, etc., by attaching a note and circulating the item to staff. Staff can check one of four choices: "dispose after circulating", "retain for X years", "save only page no. X", or "keep in revolving file." (In a revolving file the oldest issue is discarded as the most recent is filed.)

• Screen the material to be filed to assure that it is ready to be filed (i.e., that staff who need to see the document have done so or that it has been routed properly). Staff might be asked to initial such documents or write "file" on them.

• Assemble related records and check for completeness. If action is complete, but an important document is missing, staff should attempt to obtain the item or a copy for the file.

Marking The File Designation

Read and analyze the documents in order to determine accurate routing within the office. Successful information management begins in the mail room and relates

to the individual's ability to understand what types of information need to be routed to which individuals. Indexing And Cross-Referencing

Coding and indexing investigations documents is especially important for accurate retrieval. Many documents may concern more than one topic and staff must decide whether to indicate additional topics and cross references. Special cross-reference sheets may be used to indicate the existence of related material that is filed in a separate location, for example, documents that have been transferred to security-classified storage. The standard cross-reference form, Optional Form 21, and Optional Form 22, Continuity Reference, are reproduced at the end of this chapter. Rules for Alphabetical Filing are reproduced in Appendix D.

Filing

Centralized vs. Decentralized:

When deciding whether to establish a central or a decentralized file (i.e. one in which several staff have responsibility for maintaining different segments of the file), one should weigh the extent of mutual interest in the file. Generally, the greater the mutual interest of two or more staff, the more likely it is that a centralized file can be established. Advantages include:

⚫ better use of personnel in that one individual can be responsible for filing papers on a regular basis better documentation because concentrating the information provides the best opportunity to monitor records for completeness

• streamlined operations as it is easier to plan for records disposition and archiving

Whichever system is selected, centralized, decentralized, or a combination of both, the important point to remember is to maintain a regular disposition routine.

Filing Techniques:

The following techniques will result in the creation of useful files that can also be microfilmed if necessary: • Remove all clips, pins, and rubber bands before papers are filed. Newsprint clippings should not be filed with permanent records. They may be photocopied onto bond paper and the copies filed