CHAPTER V:

INTRODUCTION

Sensitive and classified information may be received or created by committee staff in the course of conducting research, oversight, and investigations. It can be contained in documents or it could be processed, transmitted, and stored electronically. Committees maintaining such information on electronic media should ensure that they have the necessary "secure" equipment and office space.

Whether provided by executive agencies, acquired from private sources, or originated within Congress, sensitive information should be safeguarded and protected. When the information becomes non-current, it should be appraised with assistance from the Archivist (4-3351) and appropriate disposition determined. Information deemed to be a permanent record of the committee should be transferred to the Senate's archives. Information deemed not to be a permanent record of the committee should either be shredded or returned to the originating agency, as appropriate. (For a discussion of committee records and documents received from executive agencies, see Chapter I.)

DEFINITION

The character of sensitive information is such that its premature disclosure could result in the conveyance of an unwanted political or economic advantage to others. Alternatively, release might be regarded as an unwarranted invasion of personal privacy or contrary to sound business practices. In more specific terms, the following types of information warrant protection within the executive branch and, therefore, might be regarded as "sensitive" within Congress. These materials, so identified and reproduced in Appendix F pertain to:

National defense or foreign policy (5 USC 552(b)(1)); (E.O. 12356)

Classified information (18 USC 952); (50 USC 783)

Diplomatic codes (18 USC 952)

Intelligence sources and methods (50 USC 403)

Electronic surveillance information (50 USC 1801) Law enforcement investigatory files (5 USC 552(b)(7))

Trade secrets (18 USC 1905)

Commercial or financial matters (5 USC 552(b)(4)) Personal privacy (5 USC 552(b)(6)); (5 USC 552(a))

A variety of techniques exist for identifying sensitive information. A concise discussion of the five most commonly restricted categories (privacy, business information, personnel data, investigative information, and statutory restricted), and how they have been interpreted in relevant Freedom of Information Act (FOIA) case law appears in Chapter 3, "Access Concepts," Archives and Manuscripts: Law by Gary M. Peterson and Trudy Huskamp Peterson.1 The Freedom of Information Case List includes a "Short Guide to the Freedom of Information Act" which provides an overview of the FOIA exemption categories and summary of their current status in case law.2 Another useful and straight forward discussion about categories of executive branch information which may be protected from public disclosure under FOIA and Privacy Acts can be found in "A Citizen's Guide on How to Use the Freedom of Information Act and the Privacy Act in Requesting Government Documents."3

Committees may acquire certain types of sensitive records when they review nominations (for example, IRS returns) or perform certain types of investigations (individual medical records from an investiga

1Gary M. Peterson and Trudy Huskamp Peterson, Archives and Manuscripts: Law (Chicago: Society of American Archivists, 1985) pp. 38-60.

2 Department of Justice, Office of Information and Privacy, Freedom of Information Case List, (Washington: Government Printing Office, 1984, pp. 239-300.

3"A Citizen's Guide on How to Use the Freedom of Information Act and the Privacy Act in Requesting Government Documents," Thirteenth Report by the Committee on Government Operations, House Report No. 95-793, 1977.

tion of health care services, for example). Access rules governing Senate records reflect these considerations (see Chapter IX). In addition, the Archivist will assist committees with the identification of sensitive material should questions arise about particular categories of information.

At least one type of record is presented to Congress with a clear indication of its protected status. National Security Classified documents are marked with identification labels-"Top Secret", "Secret", and "Confidential" by executive branch personnel, indicating that their contents met prescribed standards for the creation of official secrets.

MANAGEMENT TECHNIQUES

Each committee and subcommittee should develop procedures for safeguarding sensitive information when it is received by the committee. Such procedures include:

Appoint a "security officer" specifically to manage sensitive documents. All such documents should be delivered to this person for appropriate logging in and filing.

File such material (whether on paper, microimage, diskette, or tape) apart from non-sensitive materials in locked file cabinets or vaults. Maintain a log of all security classified documents (GSA Form 1567, "Register of Top Secret Material," may be used).

If the level of security warrants, establish special security access or reproduction controls. Documents should be returned to the vault when not in use.

Ensure that rooms or storage areas containing sensitive materials are protected against unauthorized entry.

Establish a level of security for all electronic information commensurate with the sensitivity of the information and the risk and magnitude of loss or harm that could result from improper access. Initiate and monitor appropriate technical, personnel, administrative, environmental, and telecommunications safeguards in all electronic information systems (consult with vendors and Senate Computer Center staff).4

Ensure that staff receiving security classified information have the appropriate level of clearance and are aware of sensitive document handling procedures established by the committee or sub

4For some brief suggestions see Susan N. Kessem, "Checklist Provides Cheap, Bother-Free Security Plan," Government Computer News, Vol. 5, No. 13, August 4, 1986, which offers some routine practical suggestions. In depth discussions of computer security issues can be found in Office of Technology Assessment, Automation of America's Offices, 1985-2000, (Washington: Government Printing Office, 1985) and Federal Government Information Technology: Management, Security, and Congressional Oversight, (Washington: Government Printing Office, 1986).

committee.

Remind staff that if security classified information is transferred from a marked document to an unmarked document (to a transcript or memo, for example), the information remains classified until it has been reviewed by a declassifying official. Safeguard sensitive information when it is being transmitted by either electronic means or physical relocation.

Review "Top Secret" and "Secret" documents by checking against the inventory at least once annually to determine completeness and accuracy. When the records become non-current, contact the Archivist (224-3351) to arrange for appropriate disposition and secure transfer.

Remind staff that classified information should not be discussed on the telephone.

Security requirements for group meetings at which classified or sensitive information will be disclosed should be coordinated with the committee security officer.

Ensure that reporting company staff and messengers have the appropriate level of clearance.

STORAGE

Sensitive information should be used and stored under appropriate secure conditions. When not in use, it should be stored in a vault or locked filing cabinet, and of course, should not be left unattended on desk tops. Security cabinets are available from the Superintendent.

Combinations to locks should be changed when a safe is first acquired by the office and when staff who know the combination resign from the committee. It also is recommended that changes be made annually.

SOURCES FOR ADDITIONAL INFORMATION

Secure meeting room-contact the Office of Classified National Security Information (224-5632).

☐ Physical security surveys including access control, locks, closed circuit TV, alarms; safe surveys and evaluations; sensitive compartmented information facilities-contact the Security Coordination Section, United States Capitol Police (225-5321). Agency training classes on document receipt and transfer-contact the Security Coordination Section, United States Capitol Police (225-5321). Transferring classified records to the Senate's archives-contact the Senate Archivist (224-3351). DISPOSITION OF SENSITIVE INFORMATION

Any classified materials designated for transfer to the Senate's archives must be handled separately from other committee records including the preparation of separate transfer forms. Assistance with such

transfers is available from the Senate Archivist (2243351).

The following guidelines apply only to the transmission of national security classified records. They have been adapted from a National Archives and Records Administration Information Security Manual, dated July 24, 1985.

TRANSMISSION PROCEDURES

Envelopes and Containers

(1) Whenever classified information is transmitted, it shall be enclosed in two opaque sealed envelopes or similar wrappings where size permits.

(2) Whenever classified material of a size not suitable for transmission in accordance with (1) above is transmitted, it shall be enclosed in two opaque sealed containers, such as boxes or heavy wrappings.

(3) Specialized shipping containers including closed cargo transporters may be used instead of the above packaging requirements. In such cases, the container may be considered the outer wrapping or cover.

(4) Material used for packing shall be of such strength and durability as to provide security protection while in transit, to prevent items from breaking out of the container, and to facilitate the detection of any tampering with the container. Addressing

(1) Classified material shall be addressed to an official government activity and not an individual. This is not intended, however, to prevent use of office code numbers or such phrases in the address as "Attention: Research Department," or similar aides in expediting internal routing, in addition to the organization address.

(2) Classified written material shall be folded or packed in such a manner that the text will not be in direct contact with the inner envelope or container. A receipt form shall be attached to or enclosed in the inner envelope or container for all material. The inner envelope or container shall be marked with the highest classification of the contents.

(3) The inner envelope or container shall show the address of the sending and receiving activity, including classification where appropriate, the "Restricted Data" marking, and any applicable special instructions. It shall be carefully sealed to minimize the possibility of access without leaving evidence of tampering.

(4) An outer cover or single envelope or container shall show the complete and correct address and the return address of the sender. Envelopes or containers to be delivered by messenger or courier will show the complete street address and room number.

(5) An outer cover or single envelope or container shall not bear a classification marking, a listing of the contents divulging classified information, or any other unusual data or marks which might invite special attention to the fact that the contents are classified.

(6) Care should be taken to make sure that classified information intended only for the United States units of international staffs or other international organizations is addressed only to those units.

Receipts

(1) Top Secret and Secret material should be transmitted under a continuous chain of receipts. (2) Receipts should be provided by the sender of the material and the forms attached to or enclosed in the inner cover. The sender should make sure that the receipt is returned by the addressee within a reasonable amount of time.

DISPOSAL AND DESTRUCTION PROCEDURES

Classified and sensitive records appraised as disposable should not simply be tossed in a wastebasket. Instead, such material should be properly destroyed beyond reconstruction in the presence of a staff member with appropriate clearance.

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 hand written notes, typewriter ribbons, or electrostatic copies should be safeguarded and disposed in the same manner as original documents. Offices seeking assistance with the disposition and disposal of classified material should contact the Senate Archivist (224-3351).

DECLASSIFICATION

Declassification assistance is available to Senate committees from the Records Declassification unit and coordinated with the Legislative Archives Division at the National Archives. Arrangements for this service are made with the Senate Archivist at the time such material is transferred or upon request from committees as the need arises.