INTRODUCTION
Overview
The purpose of this guide is to describe each series of records that
pertains to the epidemiologic studies conducted by the Epidemiology Section of
the Occupational Medicine Group (ESH-2) at the Department of Energy's (DOE) Los
Alamos National Laboratory (LANL) in Los Alamos, New Mexico. The records
described in this guide relate to occupational studies performed by the
Epidemiology Section, including those pertaining to workers at LANL, Mound
Plant, Oak Ridge Reservation, Pantex Plant, Rocky Flats Plant, and Savannah
River Site. Also included are descriptions of other health-related records
generated or collected by the Epidemiology Section and a small set of records
collected by the Industrial Hygiene and Safety Group. This guide is not
designed to describe the universe of records generated by LANL which may be used
for epidemiologic studies of the LANL work force.
History Associates Incorporated (HAI) prepared this guide as part of its
work as the support services contractor for DOE's Epidemiologic Records
Inventory Project. This introduction briefly describes the Epidemiologic
Records Inventory Project, HAI's role in the project, the history of LANL, the
history and functions of LANL's Health Division and Epidemiology Section, and
the various epidemiologic studies performed by the Epidemiology Section. It
provides information on the methodology that HAI used to inventory and describe
records housed in the offices of the LANL Epidemiology Section in Technical Area
59 and at the LANL Records Center. Other topics include the methodology used to
produce the guide, the arrangement of the detailed record series descriptions,
and information concerning access to records repositories.
Epidemiologic Records Inventory Project
The Epidemiologic Records Inventory Project is indicative of DOE Secretary
Hazel R. O'Leary's efforts to support openness initiatives in the areas of
environment, safety, and health. In view of the importance of various
administrative, organizational, and operational records to epidemiologic and
health-related studies, a moratorium on the destruction of such records has been
in effect since 1989.
In May 1992, the DOE Office of Epidemiology and Health Surveillance (EH-42),
now the Office of Epidemiologic Studies (EH-62), responsible for the
coordination of all health- related activities throughout the DOE complex,
directed each DOE and DOE contractor site to prepare an inventory of all records
useful for worker or community health-related studies. EH-42 prepared and
furnished each site with guidelines that defined epidemiologic records, provided
instructions for describing record series, outlined the sites' role in
inventorying epidemiologic records, and discussed the relationship of the
epidemiologic inventory to DOE's comprehensive records inventory. These
inventories should be completed in 1995.
Role of HAI
In August 1993, DOE selected HAI as its support services contractor for the
Epidemiologic Records Inventory Project. HAI, a professional records
management, archives, and historical research services firm incorporated in
1981, has provided records management, historical research, and technical
support for a number of DOE projects. HAI's role in the project includes
verifying the accuracy, comprehensiveness, and quality of existing inventories,
providing guidance to site records management teams, and, in some cases,
performing additional records inventories.
BACKGROUND
History of the DOE
The DOE is responsible for developing and administering national energy
programs and policies. Authorized by Congress in 1977, the history of the
department's predecessor agencies and functions dates back to 1942, with the
establishment of the Manhattan Engineer District (MED) of the U.S. Army Corps of
Engineers. The MED spearheaded the development and manufacture of the first
atomic weapons during World War II. In 1946 Congress passed the Atomic Energy
Act, which reorganized the MED into the Atomic Energy Commission (AEC).
Although the primary purpose of the AEC was to develop and manage the nation's
expanding nuclear weapons production complex, the organization also reflected
the nation's interest in developing broader commercial applications of atomic
energy.(1)
For nearly three decades, the AEC directed the nation's nuclear program,
from the development of nuclear weapons to the production of nuclear power. In
1974, Congress passed the Energy Reorganization Act, which split the AEC into
the Energy Research and Development Administration (ERDA) and the Nuclear
Regulatory Commission (NRC). ERDA assumed responsibility for nuclear research
and development and oversight of the nuclear weapons program, while the NRC
licensed and regulated the industrial and commercial use of radionuclides and
nuclear power. ERDA also took charge of the energy research and development
programs of the National Science Foundation (NSF), the Bureau of Mines and the
Office of Coal Research of the Department of Interior, and the Environmental
Protection Agency (EPA).(2) The establishment of ERDA represented the effort of
the Nixon Administration to institute a centrally directed national energy
policy. Events such as the 1973 Arab oil embargo and the 1973-1974 price
increases instituted by the OPEC [Organization of Petroleum Exporting Countries]
demonstrated the need to identify immediate energy needs and priorities and
establish long range goals as a way to lessen the nation's dependency on foreign
sources of energy.
A shortage of natural gas during the winter of 1976-1977 further exposed the
nation's vulnerability as an energy consumer. In response to the crisis, the
Carter Administration urged Congress to reorganize ERDA and establish a
cabinet-level organization to direct national energy policy. With the easing of
Cold War tensions, the DOE restructured its priorities around nuclear waste
management, environmental restoration, conservation, and the development of new
energy sources.(3)
History of Los Alamos National Laboratory
Los Alamos, New Mexico, is the site of the first scientific laboratory in
the United States dedicated to developing and testing nuclear weapons.
Established in 1943 as Project Y of the MED, Los Alamos produced the nuclear
device for the July 1945 Trinity Test and for the atomic bombs dropped on
Hiroshima and Nagasaki, Japan, in August 1945. Laboratory and housing
construction began in 1943, after the MED chose the University of California to
manage and operate the site. During World War II, scientific research at the
site focused on developing the first atomic bombs. Following the war, Los
Alamos continued to improve fission bombs and also began to research
thermonuclear weapons. In April 1946, the Zia Company became the support
services contractor and took over those activities from the Army. The Zia
Company held the contract until June 1986, when Pan American World Services won
the contract. The site was named the Los Alamos Scientific Laboratory (LASL) in
1947. In the 1950s, attention shifted to peaceful uses of atomic energy. LASL
expanded its research to include thermonuclear power, nuclear propulsion of
rockets for space applications, plutonium fuels, and studies on the effects of
nuclear radiation at the molecular and cellular levels. In 1980 its name was
changed to Los Alamos National Laboratory.
History and Functions of Los Alamos National Laboratory's Health
Division and Epidemiology Section
The Epidemiology Section of the Occupational Medicine Group began in 1976 as
part of the Biomedical and Environmental Research Program of the LASL Health
Division. The primary responsibility of the Health Division was to protect the
health and safety of workers and the public. These activities required a
professional staff devoted to many disciplines, including health physics,
industrial hygiene, safety, occupational medicine, environmental surveillance,
and waste management. The broad research and development activities at LANL
meant that new health and safety problems would be encountered from
time-to-time. The staff assembled to resolve these problems ultimately
addressed similar circumstances across the DOE complex.
In September 1979, The University of California reorganized the office of
the Director of LASL and made several changes in the technical divisions. The
Health Division split and a second division, Life Sciences, was created.
Programs which remained in the Health Division included radiological hazard
evaluations, epidemiology of plutonium workers, tissue studies on plutonium
depositions in humans, and industrial hygiene studies.
In 1980, the Biomedical and Environmental Research Program became the
Occupational Health and Environmental Research Program. One year later, it
became known as the Occupational Health, Waste Management, and Environmental
Research Program. The Health Division also changed names, becoming the Health,
Safety, and Environment Division in 1983. However, during all these name
changes, the basic function of the Epidemiology Section remained the same: to
conduct epidemiologic studies of workers at LANL and other DOE contractor
facilities, and, when appropriate, to study the health of populations living
near those sites.(4)
In December 1990, a Memorandum of Understanding (MOU) between the DOE and
the Department of Health and Human Services (HHS) transferred responsibility for
the management and conduct of energy-related analytic epidemiologic research to
HHS. The National Institute for Occupational Safety and Health (NIOSH), a part
of HHS and the Centers for Disease Control and Prevention (CDC), is responsible
for occupational health studies covered by this MOU.
Epidemiologic Studies
The DOE and its predecessor agencies have a history of conducting
epidemiologic research programs. Of primary interest in this guide are the
records relating to epidemiologic studies conducted by LANL, most of which dealt
with mortality and/or morbidity at a number of DOE sites. These sites include:
LANL, Mound Plant, Oak Ridge Reservation, Pantex Plant, Rocky Flats Plant, and
the Savannah River Site. In addition, the Industrial Hygiene and Safety Group
undertook a feasibility study for determining chemical exposures among Rocky
Flats workers. This study originated in the LANL Epidemiology Section, and
descriptions of the records collected for it are also included in the guide.
The major studies conducted by LANL, and their associated electronic files,
are described in the Comprehensive Epidemiologic Data Resource (CEDR). A
catalog describing the CEDR program is available from the DOE Office of Health.
A list of the publications of the LANL Epidemiology Staff, 1981-1993, is
included as Appendix A.
An understanding of the methodology employed by Epidemiology Section staff
members for research is crucial for any researcher attempting to use the files
described in this guide, and the following is a brief discussion of the steps
taken by epidemiology study teams. In preparation for a study, a team visited a
site to microfilm pertinent records, such as personnel files. Following this,
the data was coded and entered into computer files. Next, databases of specific
types of information, such as personnel hire and termination dates and dosimetry
information, were developed.
Researchers then determined the current vital status of individuals in the
study. Such information was usually obtained from the Social Security
Administration, the National Death Index, various state motor vehicle
departments, and a commercial service called TRAX. After researchers compiled
this information, they performed small studies based on the data. These studies
explored, for example, a particular type of exposure. Control group studies
were also performed to serve as quality control checks.
LANL performed most analytical work on electronic files that were coded in
the American Standard Code for Information Interchange (ASCII) format. The
information gathered by researchers was not joined until it was put into an
analysis file, which underwent a series of tests to make sure data matched
properly. If there were any problems matching data, the researchers went
through the hardcopy records to resolve discrepancies and clean up record sets.
Vital status information was added to the analysis file.
Final data matchups of the most accurate information the researcher could
obtain for a particular study were contained in the researcher's analysis file.
Various statistical programs were applied to the data in these files to
calculate results. Epidemiologists used various computer programs, such as the
Monson Program, which compiled expected U.S. mortality rates, and the MOX
program at Hanford, which was used to study and compare characteristics among
workers at one site, such as workers exposed to radiation versus unexposed
workers. Study results were normally published in scientific journals,
including the Health Physics Journal and the Journal of Occupational
Medicine.
ACCESS
Researchers should note that records are often housed according to whether
they are active or inactive. Active records are necessary for conducting the
current business of an office and, as such, must be maintained in office space.
Inactive records are those which are no longer required for daily activities and
are not usually found in office areas. Inactive records may be housed in a
temporary storage facility until they are either destroyed or sent to the
National Archives and Records Administration for permanent retention.
Records created at LANL by DOE and its contractors are administered and
controlled by the DOE and University of California/LANL records management
organizations at that site. Materials relating to epidemiologic studies
conducted for DOE are considered inactive because the DOE has ceased performing
this work. At the time the records were inventoried the majority were stored in
offices of the Epidemiology Section although some study records were housed at
the LANL Records Center. In March 1996, the records which were in the offices
of the Epidemiology Section were transferred to the LANL Records Center, which
is in a security-classified area. Researchers must hold a DOE Q clearance in
order to use this facility. Researchers should note that this situation may
change in the future and the records themselves may be moved to another
location.
For specific information or permission to access LANL Epidemiology Section
records, please contact the following:
Records Management Prog. Coord.-ALB
U.S. Department of Energy
Albuquerque Operations Office
APB/IRMD
P.O. Box 5400
Albuquerque, NM 87125-5400
Telephone Number: (505) 845-4826
Fax Number: (505) 845-4793
METHODOLOGY
Identification and Selection of Records on Epidemiologic Studies
HAI conducted the project at LANL in cooperation with site personnel and
representatives of NIOSH, Oak Ridge Associated Universities, and the Colorado
Department of Public Health and Environment. HAI located, inventoried, and
described record series in files relating to epidemiologic studies supported by
DOE and performed by the Epidemiology Section of LANL's Occupational Medicine
Group, located within the Environment, Safety, and Health Division. HAI
inventoried records in the offices of the Epidemiology Section and the
Industrial Hygiene and Safety Group and in the LANL Records Center. Once the
site visits were complete, HAI staff analyzed the inventory forms and wrote
descriptions for the record series.
Data Elements
In accordance with the guidelines in Information Required by the
Department of Energy for Epidemiologic and Health Studies, DOE developed a
list of 123 (later revised to 86) data elements to assign to record series
descriptions. In general, the data elements consist of terms pertaining to
contractor organizations, individual employees, industrial hygiene activities,
and facility characteristics that help categorize and describe the major
information contained in the record series. The HAI team, as part of its
inventory and description of records related to epidemiologic studies,
determined which data elements were pertinent to each record series for both
active and inactive records. The data elements list is included as part of this
guide in Appendix B.
SCOPE
This guide reflects information collected during HAI's three site visits in
August and September 1994. Researchers should keep in mind that the majority of
the records described in this Guide are now located in the LANL Records Center
and may be moved to another location in the future.
ARRANGEMENT
History Associates grouped record series descriptions into three categories
in order to facilitate research. A brief explanation of each category is as
follows:
I. ADMINISTRATIVE RECORDS
This section pertains to the general operations of the Epidemiology Section.
Record series included in this section generally consist of correspondence,
audit and review records, committee and subject files, and reading files.
II. STUDY DOCUMENTATION
This category includes series of records which document the studies
conducted by the Epidemiology Section. The studies may pertain to a single DOE
facility or may utilize data from several sites, as in the Health Study of
Workers.
General Source Materials
This group includes series of records which provide raw data, such as death
certificates or Personnel Security Questionnaires (PSQs). Data from these
records were used in multiple studies and in studies relating to more than one
facility. When the use of some data could not be readily determined, it was
placed in this category.
Study Titles and Sites
This category includes series which relate to specific DOE sites and to the
studies concerning those sites. For each site, record series pertaining to
studies of workers at more than one site are followed by record series relating
to a single study.
III. ELECTRONIC RECORDS
This section pertains to records stored in electronic form. The
Epidemiology Section prepared and used electronic records and associated
documentation in support of the epidemiologic studies it conducted for several
DOE sites. Together, the electronic files and documentation may be used to
comprehend the universe of the Epidemiology Section's electronic recordkeeping
practices.
In its inventory of electronic records, HAI has sought to describe generally
the types of electronic files created and used by the Epidemiology staff. HAI
arranged the files by facility and then by file type. The three file types
described within this guide are analysis, raw data, and supporting files.
Analysis files are the completed files of data on which study results are
based. Raw data files are those which are received from sources and have
undergone no manipulation by researchers. Files referred to as supporting files
are usually used to define or explain variables contained in other computer
files.
Electronic files at LANL are housed primarily on magnetic tape and disk
storage media. Most files are accessed using a Digital Equipment Corporation
6240 Minicomputer. However, some files exist that were created in the past on
other computer systems. In addition, the Epidemiology staff has used more than
one software package over the years.
Currently, most data are in tables in either the DATATRIEVE or ORACLE
database management systems. Most older data are in flat files in the ASCII
coding scheme. Due to time, cost, and equipment constraints, HAI did not
attempt to read older files maintained on magnetic tape and created on now
obsolete computer systems. HAI has included a directory listing of these files
which may be found in Appendix C.
DATA ITEMS IN RECORD SERIES DESCRIPTIONS
Due to the differences between textual and electronic records, HAI collected
different data for each of these record formats. Below are listed the data
items, with corresponding explanations, included in textual record series
descriptions. A similar list for electronic records series descriptions is then
provided.
Textual Record Series Descriptions
Series descriptions for records in sections I-II and the first half of
section III contain sixteen major data items. These include series title,
inclusive dates, location, active or inactive status, access restrictions,
accession or other identification number, volume, and container number. Also
provided is information concerning the type of media, suitability of the records
for scanning, physical condition of the records, availability of finding aids,
arrangement of the records, the originating office, duplication, and disposition
authority.
Data items are listed alphabetically and further explained below.
Access Restrictions
Access restrictions apply to some of the record series. Personnel and other
employee files that contain personal information are protected under the Privacy
Act and may not be available for public inspection. For information about
accessing these records, researchers should contact the Freedom of Information
and Privacy Act Office of the Albuquerque Operations Office at (505) 845-4370.
HAI has indicated which records may be protected under the terms of the Privacy
Act.
Although these records are unclassified, most are now stored in the LANL
Records Center, which cannot be entered without a DOE Q clearance. Since the
Laboratory itself is a controlled area, researchers must arrange for approval
before planning to visit the site.
Accession or Other Identification Number
The records maintained in the offices of the Epidemiology Section and the
Industrial Hygiene and Safety Group at the time of the inventory did not have
accession or other identification numbers. Records housed in the LANL Records
Center at the time of the inventory had a Records Transfer Request number.
Arrangement
The arrangement of the records series, for example chronological or
alphabetical, is described when possible.
Condition
HAI judged the physical condition of records series, categorizing them as
either good, fair, or poor. Records are rated poor when they contain aged and
faded typewritten originals or photocopies, illegible and faded handwritten
copies, or badly torn or damaged documents. Examples include deteriorating
microfilm, water-damaged photographs, or fading 30-year-old photocopies.
Records are rated fair when documents are older but are not too damaged or faded
to be read or viewed clearly. Examples include 15-year-old photocopies, legible
handwritten journals, or slightly torn but readable onionskin copies. Records
are rated good when they contain current photocopies, well-kept originals on
quality paper, and undamaged, clear, and dark print copies of documents.
Examples include original letters on bond paper, 5-year-old photocopies, or
well-preserved microfilm or photographs.
Container Number
This field lists cabinet and shelf locations for records which were
maintained in the offices of the Epidemiology Section at the time of the
inventory and are now housed in the LANL Records Center. Those records which
were stored at the LANL Records Center and the Industrial Hygiene and Safety
Group at the time of the inventory should still have the container numbers which
are indicated here.
Data Elements
The data elements that HAI considered pertinent to the records series are
listed in numerical order. The numbers correspond to the data elements list in
Appendix B.
Disposition Authority
Disposition authorities are not listed for the records which were stored in
the offices of the Epidemiology Section because none have been assigned. For
these records, HAI has written "unscheduled." For records held in the
LANL Records Center during the inventory, the appropriate DOE Records
Disposition Schedule number has been supplied.
Duplication
Some records may exist elsewhere in a duplicate form, such as on recording
tape or a computer hard drive. If the exact whereabouts of the duplication is
known, HAI has provided this information.
Finding Aids
Information is provided for any finding aids which may exist for the
records. For many of the inactive records stored in the offices of the
Epidemiology Section at the time of the inventory, a shelf list shows where
those records were located. Records Transfer Requests are the principal finding
aid for records stored in the LANL Records Center.
Location
Information concerning records location and status, as active or inactive,
is found here. Active and inactive records are listed by their location within
LANL at the time of the inventory.
Medium
The physical nature of the records, such as paper, microfilm, electronic, or
audio-visual, is noted.
Originating Office
The office of the organization (e.g., LANL, Occupational Medicine Group,
Epidemiology) which produced the records is provided here.
Scanning Suitability
HAI has indicated when records are suitable or not suitable for optical
scanning. In instances where records are not clearly suitable, HAI has provided
descriptions of materials that may prove problematic for some scanners.
Depending on the state-of-the- art in scanning technology, this statement may
not be accurate in the future. See Appendix D for guidelines used by HAI to
determine scanning suitability.
Series Description
The series description provides, in a narrative format, essential
information concerning the content of the records, the reasons they were
created, and the manner in which they were used. In some cases, the series
descriptions contain cross references to related textual and electronic records
described elsewhere in the guide.
Title and Inclusive Dates
Each records series description begins with a title that reflects the broad
content of the records series and the dates that the records span.
Volume
The approximate volume of the records series is provided in cubic or linear
feet and inches. Cubic measurements are used for records in vertical file
cabinets and boxes; linear measurements refer to records on open shelving and
lateral file cabinets.
Electronic File Descriptions
Descriptions for electronic records are found in the second half of section
III of the guide. The electronic records series descriptions contain nine major
data items, some of which are the same as, or similar to, those in the textual
records series descriptions. These are file name, location, access
restrictions, name of the originating office, and disposition authority. Also
included are data items pertaining to characteristics unique to the electronic
records format, including file type and hardware/software used to support the
file.
Data items are listed alphabetically and further explained below.
Access Restrictions
See information under this heading for textual records.
Disposition Authority
Disposition authorities have been listed as unscheduled, since records
disposition and retention periods have not yet been assigned.
File Description
HAI has generally described types of electronic files prepared by LANL's
Epidemiology Section. Wherever possible, HAI tried to mention the types of
records used and personal identifiers contained within the files. Also, HAI has
provided additional information for files with unique characteristics.
File Name
The file names recorded here were assigned at the time of file creation.
File Type
HAI determined whether the files included as part of this description are
analysis, raw data, or supporting files.
Hardware/Software
HAI has listed the hardware and software used to support the electronic
files.
Location
All files described were located within the LANL Epidemiology Section and
are now at the LANL Records Center.
Originating Office
The originating office is the office that actually created the records,
whether they are analysis, raw data, or supporting files.
Related Records
Record series containing documentation relating to the development of
electronic files have been indicated in this section.
NOTES
(1) Richard G. Hewlett and Oscar E. Anderson, A History of the United
States Atomic Energy Commission, Vol. 1, The New World, 1939-1946
(University Park: Pennsylvania State University Press, 1962); Richard G.
Hewlett and Francis Duncan, A History of the Atomic Energy Commission,
Vol. 2, Atomic Shield, 1947-1952 (University Park: Pennsylvania State
University Press, 1969); Charles W. Johnson and Charles O. Jackson, City
Behind a Fence: Oak Ridge Tennessee, 1942-1946 (Knoxville: University of
Tennessee Press, 1981); Vincent C. Jones, The Army and the Atomic Bomb
(Washington, DC: U.S. Army, Center for Military History, 1984); James W.
Kunetka, City of Fire: Los Alamos and the Atomic Age, 1943-1945
(Albuquerque: University of New Mexico Press, 1979); Richard Rhodes, The
Making of the Atomic Bomb (New York: Simon and Schuster, 1986).
(2) Richard G. Hewlett and Jack M. Holl, A History of the United States
Atomic Energy Commission, Vol. 3, Atoms for Peace and War: Eisenhower
and the Atomic Energy Commission, 1953-1961 (Berkeley: University of
California Press, 1989) and Richard G. Hewlett and B.J. Dierenfield, The
Federal Role and Activities in Energy Research and Development, 1946-1980: An
Historical Summary (Oak Ridge: Oak Ridge National Laboratory, 1983).
(3) Terrence R. Fehner and Jack M. Holl, The United States Department
of Energy: An Historical Summary, 1977-1994 (Washington, DC: United States
Department of Energy, History Division, 1994).
(4) D.F. Petersen and E.M. Sullivan, "Progress Report of the
Biomedical and Environmental Research Program of the LASL Health Division, 1976,"
Vol. UC-48, July 1977; "Progress Report of Biomedical and Environmental
Research Program of the LASL Life Sciences and Health Divisions," 1979, 87;
George Voelz, "Progress Report of the Occupational Health and Environmental
Research Program of the Health Division, 1980," Vol. UC-41, December 1981;
and George Voelz, "Progress Report of the Occupational Health, Waste
Management, and Environmental Research Program of the Health Division, 1981,"
Vol. UC-41, September 1983.
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